internal exile
Collateral Consequences of Conviction
in Federal Laws and Regulations

A collaboration of
the American Bar Association Commission on Effective Criminal Sanctions
and the Public Defender Service for the District of Columbia

Internal Exile
Collateral Consequences of Conviction in
Federal Laws and Regulations

A Collaboration of the
American Bar Association Commission on Effective Criminal Sanctions
and the Public Defender Service for the District of Columbia
January 2009

American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Disclaimer
The research for this compilation was completed in January 2009. Laws and regulations
in this area are revised frequently, and readers seeking fully reliable information are
cautioned to consult current statutory compilations or the appropriate administrative
agency.
We emphasize that this study is for informational purposes only and is not intended to be
legal advice. People with specific issues and questions are strongly encouraged to seek
advice from an attorney. Due to the vast amount of material covered, this study can
provide no more than an overview of the many consequences of criminal convictions,
current as of January 2009. Many of the areas, such as immigration law, are highly
complex and merit their own lengthy analysis. It is our hope that this study will provide
sufficient information for people to know that an issue exists, and methods to find other
resources through various links provided in the footnotes throughout this study.

Copyright (US) 2009, by the American Bar Association. All rights reserved
except as specified herein. Published by the American Bar Association with
the generous support of the Open Society Institute.
This publication was developed by the ABA in collaboration with the Public
Defender Service for the District of Columbia with the objective of sharing
information about the collateral consequences of conviction under federal
laws and regulations. The ABA therefore grants permission for copies of this
publication to be made, in whole or in part, by not-for-profit organizations
and individuals, provided that the use is for educational, informational, noncommercial purposes only, and provided that each copy includes this
statement in its entirety and the legend, “Reprinted by permission of the
American Bar Association.” Extracts from the work of other authors or works
quoted or included in this publication, however, may not be reproduced
without their written permission. Requests to reproduce portions of this
publication for any other purpose should be sent to the Copyrights &
Contracts Department, American Bar Association, 321 North Clark Street,
Chicago, Illinois 50564, USA.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Table of Contents
Introduction....................................................................................................................... 9
I. Civic Participation...................................................................................................... 15
Voting ........................................................................................................................... 15
Federal Jury Service...................................................................................................... 15
Federal Government Office (District of Columbia Where Noted) ............................... 16
II. Community and Military Service............................................................................. 17
Civilian Marksmanship Program .................................................................................. 17
Enlistment in the Military ............................................................................................. 18
Court Appointed Special Advocate Program................................................................ 18
Mentoring Children of Prisoners .................................................................................. 18
Sponsor Programs for Foreign Exchange Programs..................................................... 18
Programs Funded by the Corporation for National and Community Service............... 19
III. Federal Employment................................................................................................ 19
Federal Law Enforcement Officers............................................................................... 20
Child Care for Federal Workers.................................................................................... 20
IV. Federal Licensure and Procurement ...................................................................... 20
Airport, Air Travel, and Air Commerce ....................................................................... 21
Transportation Worker Identification Credential – Port Security................................. 22
Commercial Motor Vehicle Operator License.............................................................. 22
Hazardous Material Endorsement................................................................................. 23
Locomotive Operator License....................................................................................... 23
Merchant Mariners........................................................................................................ 23
Registration of Commodity Dealers and Associated Persons....................................... 24
Broadcast Licensing...................................................................................................... 24
Farm Labor Contractors................................................................................................ 25
United States Grain Standards Act ............................................................................... 25
Arms Export Control..................................................................................................... 25
Atomic Energy – Nuclear Regulatory Commission ..................................................... 25
Customs Broker License ............................................................................................... 26
Registration of Brokers and Dealers with the Securities and Exchange Commission
(SEC)............................................................................................................................. 26
Registration of Investment Advisers............................................................................. 26
Registration of Manufacturers, Distributors, and Dispensers of Controlled Substances
....................................................................................................................................... 27
V. Federal Regulation of State and Private Employment and Licensure.................. 27
Prisoner Transportation................................................................................................. 27
Employees of state departments of motor vehicles – REAL ID................................... 27
Leadership in Labor Organizations, Consultant or Adviser to an Employee Benefit
Program......................................................................................................................... 28
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American Bar Association Commission on Effective Criminal Sanctions
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Banking Institutions ...................................................................................................... 28
Business of Insurance ................................................................................................... 30
Mortgage Loan Originator License............................................................................... 30
Elementary and Secondary School Employees............................................................. 31
Care Providers for Vulnerable Populations (Children, the Elderly and Individuals With
Disabilities) ................................................................................................................... 31
Care for Native American Children.............................................................................. 31
Community Supported Living Arrangement Services.................................................. 32
Hospice Care................................................................................................................. 32
Private Security............................................................................................................. 33
Court-imposed Occupational Restrictions .................................................................... 33
VI. Debarment from Participation in Federal Programs ........................................... 33
Health Care Providers Participating in Federal Health Care Programs Such as
Medicare and Medicaid................................................................................................. 33
Federal Procurement ..................................................................................................... 34
Defense Contractors...................................................................................................... 35
Explosive Materials License ......................................................................................... 35
Food and Drug Administration Debarment, Suspension, or Denial of Approval......... 35
Loss of Federal Grants, Contracts and Licenses Due to a Conviction of Distribution of
Controlled Substances................................................................................................... 36
VII. Family Related Matters.......................................................................................... 37
Adoption and Safe Families Act ................................................................................... 37
Foreign Exchange Student and Au Pair Host Families................................................. 38
VIII. Federal Benefits, Passport and Drivers’ Licensing ............................................ 38
Social Security Benefits................................................................................................ 38
Temporary Assistance to Needy Families and Food Stamps........................................ 38
Federal Student Assistance ........................................................................................... 39
Public Housing.............................................................................................................. 39
Veteran’s Benefits......................................................................................................... 40
Government Employee Benefits ................................................................................... 40
Obtaining a Passport ..................................................................................................... 41
Drivers’ Licensing ........................................................................................................ 41
IX. Registration and Notification Requirements ......................................................... 41
X. Federal Firearms Privileges ...................................................................................... 42
Firearms and Ammunition ............................................................................................ 42
Body Armor .................................................................................................................. 43
Explosives ..................................................................................................................... 43
XI. Immigration Consequences ..................................................................................... 43
XII. Federal Relief and Restoration Provisions ........................................................... 45
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American Bar Association Commission on Effective Criminal Sanctions
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Appendix 1....................................................................................................................... 47
Federal Consequences Affecting a Person with a Felony Drug Conviction................. 47
Appendix 2....................................................................................................................... 52
Table Separating Collateral Sanctions and Discretionary Disqualifications. ............... 52
Appendix 3....................................................................................................................... 56
Text of Statutes and Regulations .................................................................................. 56
5 U.S.C. 7313 – Riots and civil disorders................................................................ 56
5 U.S.C. 7371 - Mandatory removal from employment of law enforcement officers
convicted of felonies .................................................................. 56
5 U.S.C. 8148 – Forfeiture of benefits by convicted felons .................................... 57
5 U.S.C. 8312 – Conviction of certain offenses ...................................................... 58
5 U.S.C. 8331 - Definitions ..................................................................................... 61
6 U.S.C. 1170 – Security background checks of covered individuals..................... 61
7 U.S.C. 12a - Registration of commodity dealers and associated persons;
regulation of registered entities.................................................. 64
7 U.S.C. 85 – Suspension, revocation, and refusal to renew licenses; hearing;
grounds; temporary suspension.................................................. 66
8 U.S.C. 1101 - Definitions ..................................................................................... 66
8 U.S.C. 1182 – Inadmissible aliens ........................................................................ 69
8 U.S.C. 1227 – Deportable aliens........................................................................... 71
8 U.S.C. 1229b - Cancellation of removal; adjustment of status............................. 73
10 U.S.C. 504 – Armed Force - Persons not qualified ............................................ 73
10 U.S.C. 2408 – Prohibition on persons convicted of defense-contract related
felonies and related criminal penalty on defense contractors .... 74
12 U.S.C. 5104 – State license and registration application and issuance............... 75
12 U.S.C. 1829 – Penalty for unauthorized participation by convicted individual . 76
15 U.S.C. 78o – Registration and regulation of brokers and dealers....................... 78
15 U.S.C. 80a-9 – Ineligibility of certain affiliated persons and underwriters........ 79
15 U.S.C. 80b-3 – Registration of investment advisers........................................... 80
18 U.S.C. 201 – Bribery of public officials and witnesses ...................................... 83
18 U.S.C. 592 – Troops at polls............................................................................... 84
18 U.S.C. 593 – Interference by armed forces......................................................... 84
18 U.S.C. 842 – Unlawful acts ................................................................................ 85
18 U.S.C. 843 – Licenses and user permits ............................................................. 86
18 U.S.C. 921 - Definitions ..................................................................................... 87
18 U.S.C. 922 – Unlawful acts ................................................................................ 93
18 U.S.C. 931 – Prohibition on purchase, ownership, or possession of body armor
by violent felons......................................................................... 95
18 U.S.C. 1033 - Crimes by or affecting persons engaged in the business of
insurance whose activities affect interstate commerce .............. 96
18 U.S.C. 1901 – Collecting or disbursing officer trading in public property ........ 97
18 U.S.C. 1905 – Disclosure of confidential information generally ....................... 97
18 U.S.C. 2071 – Concealment, removal, or mutilation generally.......................... 97
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18 U.S.C. 2381 – Treason........................................................................................ 98
18 U.S.C. 2385 – Advocating overthrow of Government ....................................... 98
18 U.S.C. 2387 – Activities affecting armed forces generally ................................ 99
19 U.S.C. 1641 – Customs brokers.......................................................................... 99
20 U.S.C. 1091 – Student eligibility ...................................................................... 102
20 U.S.C. 7115 – Authorized activities ................................................................. 103
21 U.S.C. 335a - Debarment, temporary denial of approval, and suspension ....... 103
21 U.S.C. 823 – Registration requirements ........................................................... 113
21 U.S.C. 862 – Denial of Federal benefits to drug traffickers and possessors..... 115
21 U.S.C. 862a – Denial of assistance and benefits for certain drug-related
convictions ............................................................................... 116
22 U.S.C. 2778 – Control of arms exports and imports......................................... 118
22 U.S.C. 2714 – Denial of passports to certain convicted drug traffickers.......... 121
22 U.S.C. 4605 – Board of Directors..................................................................... 122
23 U.S.C. 159 - Revocation or suspension of drivers' licenses of individuals
convicted of drug offenses ....................................................... 122
24 U.S.C. 412 – Residents of Retirement Home ................................................... 124
25 U.S.C. 2704 – National Indian Gaming Commission....................................... 125
25 U.S.C. 3207 - Character investigations............................................................. 125
26 U.S.C. 25A – Hope and Lifetime Learning Credits.......................................... 126
26 U.S.C. 7213 – Unauthorized disclosure of information.................................... 127
26 U.S.C. 7213A – Unauthorized inspection of returns or return information ..... 127
26 U.S.C. 7214 – Offenses by officers and employees of the United States......... 128
28 U.S.C. 1865 – Qualifications for jury service................................................... 129
29 U.S.C. 504 – Prohibition against certain persons holding office...................... 130
29 U.S.C. 1111 – Persons prohibited from holding certain positions.................... 132
29 U.S.C. 1813 – Registration determinations ...................................................... 134
36 U.S.C. 40723 – Eligibility for participation...................................................... 135
36 U.S.C. 40732 – Sale of firearms and supplies .................................................. 136
38 U.S.C. 1911 – Forfeiture................................................................................... 136
38 U.S.C. 1973 – Forfeiture................................................................................... 136
38 U.S.C. 6104 – Forfeiture for treason................................................................. 137
38 U.S.C. 6105 – Forfeiture for subversive activities............................................ 137
40 U.S.C. 590 – Child care .................................................................................... 138
42 U.S.C. 629i – Grants for programs for mentoring children of prisoners .......... 138
42 U.S.C. 671 – State plan for foster care and adoption assistance....................... 141
42 U.S.C. 675 – Definitions................................................................................... 141
42 U.S.C. 1320a-7 – Exclusion of certain individuals and entities from participation
in Medicare and State health care programs ............................ 142
42 U.S.C. 1383 – Procedure for payment of benefits ............................................ 147
42 U.S.C. 1396u – Community supported living arrangements services .............. 148
42 U.S.C. 1437n – Eligibility for assisted housing................................................ 149
42 U.S.C. 2169 - Fingerprinting for criminal history record checks ..................... 149
42 U.S.C. 5119a – Background checks.................................................................. 151
42 U.S.C. 5119a (note) .......................................................................................... 152
42 U.S.C. 13013 – Strengthening of court appointed special advocate program .. 156
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

42 U.S.C. 13041 – Requirement for background checks....................................... 157
42 U.S.C. 13663 – Ineligibility of dangerous sex offenders for admission to public
housing..................................................................................... 158
42 U.S.C. 13726b – Federal regulation of prisoner transport companies.............. 159
42 U.S.C. 14071 - Jacob Wetterling Crimes Against Children and Sexually Violent
Offender Registration Program................................................ 160
42 U.S.C. 14072 – FBI database............................................................................ 165
42 U.S.C. 16911 – Relevant definitions, including Amie Zyla expansion of sex
offender definition and expanded inclusion of child predators 170
42 U.S.C. 16912 – Registry requirements for jurisdictions................................... 172
42 U.S.C. 16913 – Registry requirements for sex offenders ................................. 173
42 U.S.C. 16914 – Information required in registration ........................................ 174
42 U.S.C. 16915 – Duration of registration requirement....................................... 175
42 U.S.C. 16915a – Direction to the Attorney General ......................................... 176
42 U.S.C. 16915b – Checking system for social networking websites ................. 177
42 U.S.C. 16916 – Periodic in person verification ................................................ 179
42 U.S.C. 16918 – Public access to sex offender information through the Internet
.................................................................................................. 180
42 U.S.C. 16919 – National Sex Offender Registry .............................................. 181
46 U.S.C. 7503 – Dangerous drugs as grounds for denial..................................... 181
46 U.S.C. 7703 – Bases for suspension or revocation ........................................... 181
46 U.S.C. 70105 – Transportation security cards .................................................. 182
49 U.S.C. 114 – Transportation Security Administration...................................... 187
49 U.S.C. 5103a – Limitation on issuance of hazmat licenses .............................. 188
49 U.S.C. 20135 – Licensing or certification of locomotive operators ................. 191
49 U.S.C. 31310 – Disqualifications ..................................................................... 192
49 U.S.C. 44709 – Amendments, modifications, suspensions, and revocations of
certificates ................................................................................ 194
49 U.S.C. 44710 – Revocations of airman certificates for controlled substance
violations.................................................................................. 196
49 U.S.C. 44935 – Employment standards and training........................................ 198
49 U.S.C. 44936 – Employment investigations and restrictions ........................... 199
5 C.F.R. 919.605 – How does suspension differ from debarment? ...................... 201
5 C.F.R. 919.800 – What are the causes for debarment?....................................... 202
6 C.F.R. 37.45 – Background checks for covered employees. .............................. 203
10 C.F.R. 73.56 – Personnel access authorization requirements for nuclear power
plants. ....................................................................................... 205
10 C.F.R. Pt. 73, App. B – General criteria for security personnel ....................... 206
14 C.F.R. 61.15 – Offenses involving alcohol or drugs. ....................................... 207
20 C.F.R. 404.1506 – When we will not consider your impairment. .................... 208
22 C.F.R. 62.25 – Secondary school students........................................................ 209
22 C.F.R. 62.31 – Au pairs. ................................................................................... 210
24 C.F.R. 982.553 – Denial of admission and termination of assistance for criminals
and alcohol abusers. ................................................................. 210
28 C.F.R. 97.11 – Pre-employment screening. ...................................................... 213
28 C.F.R. 105.23 – Procedure for requesting criminal history record check ........ 214
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28 C.F.R. 105.24 – Employee's rights. .................................................................. 215
32 C.F.R. Pt. 86, App. B ........................................................................................ 215
42 C.F.R. 418.114 – Condition of participation: Personnel qualifications............ 217
45 C.F.R. 2522.205 – To whom must I apply suitability criteria relating to criminal
history?..................................................................................... 218
45 C.F.R. 2522.206 – What suitability criteria must I apply to a covered position?
.................................................................................................. 218
45 C.F.R. 2522.230 – Under what circumstances may AmeriCorps participants be
released from completing a term of service, and what are the
consequences?.......................................................................... 218
45 C.F.R. 2540.200 – To whom must I apply suitability criteria relating to criminal
history?..................................................................................... 220
45 C.F.R. 2540.201 – What suitability criteria must I apply to a covered position?
.................................................................................................. 220
45 C.F.R. 2540.202 – What two search components of the National Service
Criminal History Check must I satisfy to determine an
individual’s suitability to serve in a covered position?............ 220
45 C.F.R. 2540.203 – When must I conduct a State criminal registry check and a
NSOPR check on an individual in a covered position? ........... 220
45 C.F.R. 2540.204 – What procedures must I follow in conducting a National
Service Criminal History Check for a covered position? ........ 221
46 C.F.R. 12.02-4 – Basis for denial of a merchant mariner’s document. ............ 221
47 C.F.R. 73.4280 – Character evaluation of broadcast applicants....................... 226
48 C.F.R. 9.406-2 – Causes for debarment............................................................ 229
48 C.F.R. 9.407-2 – Causes for suspension. .......................................................... 230
48 C.F.R. 252.203-7001 – Prohibition on persons convicted of fraud or other
defense-contract-related felonies. ............................................ 231
49 C.F.R. 240.115 – Criteria for consideration of prior safety conduct as a motor
vehicle operator........................................................................ 232
49 C.F.R. 240.119 – Criteria for consideration of data on substance abuse disorders
and alcohol drug rules compliance. ......................................... 233
49 C.F.R. 1515.7 – Procedures for waiver of criminal offenses, immigration status,
or mental capacity standards.................................................... 235
49 C.F.R. 1542.209 – Fingerprint-based criminal history records checks (CHRC).
.................................................................................................. 236
49 C.F.R. 1570.3 – Terms used in this subchapter. ............................................... 242
49 C.F.R. 1572.103 – Disqualifying criminal offenses. ........................................ 242
49 C.F.R. 1572.5 – Standards for security threat assessments. ............................. 244

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Introduction
This study collects and describes the collateral consequences of a criminal conviction that
arise under federal statutes and regulations. A joint project of the ABA Commission on
Effective Criminal Sanctions (Commission) and the Public Defender Service for the
District of Columbia (PDS), it is an outgrowth of both entities’ work on the effect of a
criminal record on the availability of a wide range of benefits and opportunities, which in
turn determines a person’s likely ability to rebuild his or her life after a criminal
conviction. While the study is first and foremost a compilation, and its presentation
primarily descriptive rather than analytical, we hope that it will serve as a useful tool for
criminal justice practitioners (including defenders, judges, and prosecutors); for persons
seeking information about the legal rights and responsibilities of people who have a
conviction record; and for advocates, legislators, and policymakers in determining which
collateral consequences are reasonable and appropriate responses to public safety
concerns, and which are not and what can or should be done to avoid or mitigate them.
Background
The origins of this project can be traced to the ABA’s promulgation in 2003 of a new
chapter of its Criminal Justice Standards that called on each U.S. jurisdiction to collect
and analyze the collateral consequences in its laws and regulations. See Standard 19-2.1
of the ABA Standards on Collateral Sanctions and Discretionary Disqualification of
Convicted Persons (2003). The ABA Standards identified two types of collateral
consequences: “collateral sanctions,” defined as penalties imposed automatically upon
conviction, and “discretionary disqualifications,” defined as penalties that are authorized
but not required to be imposed. This distinction between automatic and discretionary
collateral consequences was carried forward into a uniform law presently under
consideration by the National Conference of Commissioners on Uniform State Laws, and
more recently into Section 510 of the Court Security Act, both of which also call for a
comprehensive inventory and study of collateral consequences.
In recent years, a number of state-specific studies of collateral consequences have been
prepared, including an exemplary analysis of the collateral consequences affecting people
with convictions in the District of Columbia published in 2004 by PDS. However, these
studies vary widely in format and methodology, and no single approach to the enterprise
has emerged as preferable to others. It therefore seemed appropriate for the ABA and
PDS together to attempt, through a comprehensive survey of federal laws and regulations,
to provide technical guidance for state jurisdictions undertaking studies of their own laws
and rules, while at the same time illuminating an important area of the law affecting
people with criminal convictions nationwide, which has not been addressed for some
time. 1 That the National Institute of Justice has been directed by the Court Security Act

1

The Office of the Pardon Attorney in the U.S. Department of Justice published a partial inventory of
federal collateral consequences in 2000, but the OPA study has not been updated since that time and
therefore does not contain any of the significant body of collateral consequences that followed 9/11.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

to produce a survey of collateral consequences for each U.S. jurisdiction made this
project seem particularly timely.
Work on this federal study has been supported by a generous grant from the Open
Society Institute. We were fortunate that Kelly Salzmann, the author of the PDS study of
collateral consequences affecting people with convictions in the District of Columbia,
was willing to take the laboring oar in preparing it. Through her experience as PDS’
Community Reentry Program Coordinator, Kelly understood the importance of such a
study for defenders in advising clients. She also understood the importance of making
the study user-friendly for all criminal law practitioners, for judges and legislators, and
for policy-makers studying the impact on recidivism rates of what has been described as a
web of invisible punishment. Working for only a few hours a week in spare time from
her day job, Kelly completed an extraordinary amount of work in a relatively brief period
of time. She worked essentially alone, with advice from an IT expert and in occasional
consultation with me.
Limitations of the Study
The study describes the collateral consequences of a felony conviction arising under
federal statutes and regulations. These consequences apply to felony convictions (or their
equivalent) obtained in state, federal, and territorial courts, and in courts martial. Except
where otherwise noted, they generally do not apply to misdemeanors, juvenile
adjudications, or convictions in foreign jurisdictions or tribal courts. The issue of
effective dates of particular disabilities, including retroactivity, is not addressed in any
detail. While pains have been taken to identify all collateral consequences, there are
certainly a few that have been missed.
The study also does not give a complete picture of the provisions for relief from federal
collateral consequences. While federal consequences apply generally to all criminal
convictions, state or federal, the provisions for avoiding or mitigating these consequences
may differ depending upon the jurisdiction of conviction or the location of the convicted
person’s residence. In some cases, federal law incorporates state law relief mechanisms, 2
or gives states the option of opting out of federal regulatory requirements. 3 In others,
people convicted of state offenses have no recourse. People convicted under federal law
generally cannot take advantage of state relief mechanisms, and thus may have no
remedy short of a presidential pardon. 4

2

For a review of loss of rights and relief provisions in each state’s law see Brief for amici curiae National
Association of Criminal Defense Lawyers and Families Against Mandatory Minimums in Logan v. United
States, U.S. Sup. Ct. No. 06-6911, Appendix detailing state law provisions for loss and restoration of civil
rights and firearms privileges, electronic version available at
http://www.fd.org/odstb_ConstructFIREARM.htm.
3
See, e.g. the federal restrictions on state welfare benefits and drivers licenses
4
An example is the prohibition against possessing firearms in 18 U.S.C. §§ 921(a)(3) and 922 (g)(1).
State offenders may obtain relief through state law relief mechanisms such as pardon, expungement, setaside, or restoration of civil rights. See 18 U.S. § 921(a)(20). Federal offenders may obtain relief only
through a federal restoration mechanism. See Beecham v. United States, 511 U.S. 368 (1994). Because the

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

In addition, the study can only suggest how the laws and regulations catalogued are
administered and enforced. Our experience is that in practice most federal collateral
consequences are administered more strictly than the text at issue requires. This is
particularly true for federal consequences that are enforced by state and local
jurisdictions, such as licensing requirements for those working with vulnerable
populations, and requirements for admission to public housing. At the same time, there
are some federal statutes and regulations that are reportedly administered with exemplary
fairness and efficiency, notably those areas of the law affecting the front lines of national
security, such as access to secure areas of ports and other transportation hubs, defense
contracting, and membership in the armed forces.
Finally, the study necessarily gives an incomplete picture of the whole range of
consequences that stem from adverse contact with the criminal justice system. As a
collection of federal laws and regulations, it does not include the many collateral
consequences contained in state laws and regulations, or in state-controlled federal
benefit programs such as welfare, food stamps, and public housing. Moreover, it does
not include court-imposed conditions of probation and parole that may have a collateral
effect on travel, employment, and other family matters, or civil forfeiture provisions that
are often triggered by an arrest. Less tangible consequences of conviction not discussed
in this study are the public humiliation and ostracism that may result from the fact of the
conviction alone, particularly where sex offender and other violent offender registration
requirements apply. People with criminal convictions who served time in prison may
have significant difficulty due to gaps in work experience on a resume in a job
application. More and more frequently potential employers and landlords are requesting
and using background check information, including arrest and conviction records in their
decisions regarding jobs and leases independent of statutory requirements. None of these
consequences are described in this study, but all must be accounted for in considering the
public safety implications of a failed reentry experience.
Margaret Colgate Love
Director, ABA Commission on Effective Criminal Sanctions

statutory process for administrative restoration has not been funded since 1991, Bean v. United States, 537
U.S. 71 (2002), only a presidential pardon restores firearms rights for federal offenders. For additional
information about relief provisions under federal law, readers are referred to Margaret Colgate Love, Relief
from the Collateral Consequences of a Criminal Conviction, A State by State Resource Guide (Hein 2006),
updates at http://www.sentencingproject.org/PublicationDetails.aspx?PublicationID=486.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

A Note from the Public Defender Service for the District of Columbia
The Public Defender Service for the District of Columbia is pleased to partner with the
American Bar Association’s Commission on Effective Criminal Sanctions on this
important study, “Internal Exile: Collateral Consequences of a Criminal Conviction in
Federal Laws and Regulations.” As public defenders, we witness firsthand the
complicated and often lasting impacts of such collateral consequences upon the lives of
our clients. Each year, literally hundreds of individuals come through our doors seeking
legal advice concerning their eligibility for expungement because their criminal records
continue to serve as a barrier to employment, housing, and other services that are
essential to their stability in the community. Almost without regard to a person’s
attempts to rebuild his or her life after a conviction, the residual impact of a criminal
record continues to limit future opportunities in far too many cases. We hope that the
study educates the criminal justice community and other interested parties about the
burdensome effect of federal collateral consequences upon the lives of fellow citizens
across the nation and that it encourages a new dialogue among policy makers regarding
viable ways in which to eliminate barriers to reentry.
Avis Buchanan, Director
Public Defender Service for the District of Columbia
James D. Berry, Jr., Chief
Community Defender Division
Public Defender Service for the District of Columbia

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A Note from the Principal Author
This study was done working a few hours per week over a six-month period. Much of
the research was done using electronic legal research and the internet. I also benefited
greatly from the ability to talk with practitioners, in particular Laura Moskowitz of the
National Employment Law Project, who generously shared research she had collected, as
well as April Frazier, the current Community Reentry Program Coordinator for the Public
Defender Service for the District of Columbia (PDS). I am an experienced attorney with
a background in civil legal services and public defense. Despite my experience,
education, resources, and the assistance given to me, I felt extremely overwhelmed by
this project. The consequences outlined are spread throughout a massive amount of
statutory and regulatory language that is often confusing. I have made every attempt to
catalogue each consequence yet despite my best efforts, I have no doubt that there are
consequences that I missed.
There are hyperlinks throughout the text that allow the reader to navigate back to the
descriptions in the first section. The table of contents that precedes this introduction also
contains active links allowing the reader to immediately navigate to any section or statute
of interest.
The study is organized into four sections. The first outlines the varying consequences
that relate to civic participation and community service, employment and licensing,
family matters, and other federal benefit programs. Where enumerated in the statutory or
regulatory language, it includes the definition of a conviction, appeal or waiver processes,
and factors to be considered. Statutory and regulatory references are hyperlinks that
allow the reader to navigate to the language referenced. Within the footnotes are active
links to other studies, websites, or policy statements that provide additional information
regarding the particular subject.
The second section is an Appendix with an inventory of the collateral consequences that
affect people with a felony drug conviction, including some that are offense-specific.
The third section, Appendix 2, consists of a chart sorting the inventoried collateral
consequences into collateral sanctions and discretionary disqualifications. The fourth
section, Appendix 3, contains the relevant statutory language, which can be accessed
through hyperlinks in the first section.
Throughout my work on this project I was constantly reminded that as daunting as the
task was for me, the sense of confusion must be exponentially increased for a person who
has come through the often dehumanizing criminal justice system and who may be facing
unemployment, homelessness, hunger, addiction, family estrangement, and/or dealing
with physical and mental health impairments, including those resulting from a period of
incarceration.
When I became too overwhelmed by the vast amount of information and the thought of
the burden this places on people who are already far too often on the margins of our
society, I relied on Margaret Colgate Love, practicing attorney, and James D. Berry, Jr. of
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

PDS for support. It is my hope that in some small way this study allows people with
criminal convictions to feel the same sense of support through access to this information
and gives advocates resources to aid these individuals and policy makers a fuller picture
of the impact of the decisions they make.
Kelly Poff Salzmann
January 2009

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

I. Civic Participation 5
Voting
The qualifications of voters, with a few exceptions, are determined by individual states.
The United States Constitution, aside from prohibiting disenfranchisement on
grounds such as age, gender, and race, U.S. Const. amend XV, XIX, XXVI, provides
that qualifications for voting in federal elections are determined by state law. U.S.
Const. art. I, § 2, cl. 1; art. I, § 4; art. II, § 1, cl. 2; amend. XVII. (For the District of
Columbia, see U.S. Const. amend. XXIII; D.C. Code Ann. § 1-1301.) … 6
The power of the states to deny the right to vote because of conviction of a crime is
expressly recognized in the Fourteenth Amendment. U.S. Const. amend. XIV, § 2. See
generally Richardson v. Ramirez, 418 U.S. 24 (1974); Johnson v. Governor of Florida,
405 F. 3d 1214 (11th Cir., 2005). 7
Federal Jury Service
Any person who has been convicted of a felony (crime punishable by imprisonment for
more than one year) is unable to serve on a federal grand or petit jury. The right to serve
on a federal jury is restored if the individual’s “civil rights have . . . been restored.” 28
U.S.C. 1865(b)(5).
This provision has generally been interpreted by federal courts and the
Administrative Office of the United States Courts to require an affirmative act (such
as a pardon) by the state (or by the President for a federal conviction) before the right
to serve on a federal jury will be reinstated. Thus, the automatic restoration of civil
rights that occurs in many states upon completion of the imposed sentence will not
operate to restore the right to serve on a federal jury. See, e.g., United States v.
Hefner, 842 F.2d 731,732 (4th Cir. 1988) (relying on the legislative history of 28
U.S.C. 1865 to hold that “some affirmative act recognized in law must first take place
to restore one’s civil rights to meet the eligibility requirements of section
1865(b)(5)”). 8
5

Federal law on civic participation may incorporate state law on loss and restoration of rights. For a review
of loss of rights and relief provisions in each state’s law see Brief for amici curiae National Association of
Criminal Defense Lawyers and Families Against Mandatory Minimums in Logan v. United States, U.S.
Sup. Ct. No. 06-6911, Appendix detailing state law provisions for loss and restoration of civil rights and
firearms privileges, electronic version available at http://www.fd.org/odstb_ConstructFIREARM.htm.
6
Federal Statutes Imposing Collateral Consequences Upon Conviction,
http://www.usdoj.gov/pardon/collateral_consequences.pdf.
7
For a recent review of felony disenfranchisement and a study of state statutes, see Felony
Disenfranchisement Laws in the United States by the Sentencing Project, September 2008,
http://www.sentencingproject.org/Admin/Documents/publications/fd_bs_fdlawsinus.pdf.
8
Federal Statutes Imposing Collateral Consequences Upon Conviction,
http://www.usdoj.gov/pardon/collateral_consequences.pdf.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Federal Government Office (District of Columbia Where Noted)
The United States Constitution does not prohibit people with convictions from holding
elected federal office. See U.S. Const. art. I, §§ 2, 3; art. II, §1; art. VI. 9 . Various federal
statutes, as listed below, provide that a conviction may result in the loss of or ineligibility
for appointed office. Aside from such specific statutory disqualifications, however, a
felony conviction does not disqualify a person from federal employment, but is a factor in
determining suitability for it. 10
Permanent Bar:
A person who has been convicted of treason is incapable of holding any office under the
United States. 18 U.S.C. 2381. An officer of the United States working in the collection
or disbursement of the revenues United States who is convicted of carrying on any trade
or business in the funds or debts of the United States is incapable of holding any office
under the United States. 18 U.S.C. 1901. A custodian of United States court records,
proceedings, maps, books, documents, papers, or other things who is convicted of the
concealment, removal, mutilation, obliteration, falsification, or destruction of the United
States Court property will be removed from his or her office and is disqualified from
holding any office under the United States. 18 U.S.C. 2071(b). An officer or member of
the armed services who is convicted of using troops to interfere with a general or special
election or otherwise interfering with voter registration or qualifications is disqualified
from holding any office of honor, profit or trust under the United States. 18 U.S.C. 592
and 18 U.S.C. 593.
Five Year Bar:
A person who has been convicted of felony inciting, organizing, promoting, encouraging,
or participating in a riot or civil disorder is ineligible to accept or hold any position in the
Government of the United States or in the government of the District of Columbia for the
five years immediately following the date upon which his conviction becomes final. 5
U.S.C. 7313. A person who has been convicted of advocating the overthrow of the
United States or the government of any state, territory, district or possession by force or
violence or of conspiracy related to this crime is ineligible for employment by the United
States or any federal department or agency, for the five years following his or her
conviction. 18. U.S.C. 2385. A person who advises, counsels, urges, otherwise attempts
to cause insubordination, disloyalty, mutiny, or refusal of duty by any member of the
military or naval forces of the United States is ineligible for employment by the United
9

The Constitution, however, provides that the “President, Vice President and all civil Officers of the
United States, shall be removed from Office on Impeachment for, and Conviction of, Treason, Bribery, or
other high Crimes and Misdemeanors,” U.S. Const. art. II, § 4, and further provides that a judgment in a
case of impeachment may include removal from office and “disqualification to hold and enjoy any Office
of honor, Trust or Profit under the United States.” U.S. Const. art. I, § 3.
10

Federal Statutes Imposing Collateral Consequences Upon Conviction,
http://www.usdoj.gov/pardon/collateral_consequences.pdf.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

States or any federal department or agency, for the five years following his or her
conviction. 18 U.S.C. 2387.
Permissive Bar:
A person who has been convicted of bribery of a public official or witness as defined in
18 U.S.C. 201, may be disqualified by the sentencing court from holding any office of
honor, trust, or profit under the United States. 18 U.S.C. 201.
Other organization/agency-specific bars:
A board member of the United States Institute of Peace may be removed by the United
States President, in consultation with other board members, for conviction of a felony.
22 U.S.C. 4605.
A person who has been convicted of a felony or misdemeanor gaming offense is
ineligible to be appointed to or continue service on the National Indian Gaming
Commission. 25 U.S.C. 2704.
An officer or employee of the United States who, unauthorized, discloses an income tax
return or return information, allows someone to inspect a return or return information or
discloses operations information of a manufacturer or producer will be dismissed from
office or discharged from employment. 26 U.S.C. 7213 and 26 U.S.C. 7213A. An
officer or employee of the United States acting in connection with revenue law who is
convicted of extortion, demands unlawful fees, sums, compensation or rewards, or
commits fraud will be dismissed from office or discharged from employment. 26 U.S.C.
7214.
An officer or employee of the United States who is convicted of disclosure, without
authorization, of confidential information obtained in the course of official duties will be
removed from said office or employment. 18 U.S.C. 1905.

II. Community and Military Service
Civilian Marksmanship Program
A person who has been convicted of a felony or a firearms offense may not participate in
any activity sponsored or supported by the Civilian Marksmanship Program. 36 U.S.C.
40723. Any firearms sold by the Civilian Marksmanship Program may not be sold to a
gun club member with a felony conviction or a firearms offense. 36 U.S.C. 40732. 11

11

The congressionally created Civilian Marksmanship Program (CMP) promotes firearms safety training
and rifle practice for all qualified U.S. citizens with special emphasis on youth. The CMP operates through
a network of affiliated shooting clubs and associations that covers every state in the U.S. The clubs and

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Enlistment in the Military
No person who has a felony conviction may enlist in any branch of the military. 10
U.S.C. 504. The Secretary of Defense may authorize exceptions in meritorious cases. 12
Department of Defense internal policy also bars people with misdemeanor convictions,
including misdemeanor domestic violence, from enlisting unless a waiver is granted.
This bar, however, is not statutory. 13
Court Appointed Special Advocate Program
A person with a conviction of a felony or misdemeanor involving a sex offense, violent
act, child abuse or neglect, or related acts that would pose risks to children or to the
court-appointed special advocate program’s credibility is barred from serving as a
volunteer. 42 U.S.C. 13013. A review of the national CASA website reveals no guidance
as to how background checks are to be performed. 14
Mentoring Children of Prisoners
Federal grants for programs for the mentoring of children of prisoners require that
prospective programs perform background checks of potential mentors. A program must
prohibit a person from being a mentor only if a conviction would prevent him or her from
being a foster or adoptive parent under 42 U.S.C. 671. 42 U.S.C. 629i. 15 No guidance is
given as to how other criminal history information is to be considered.
Sponsor Programs for Foreign Exchange Programs
Any person working for a Department of State-sponsored foreign exchange student
sponsor program and who has direct personal contact with exchange students must be
vetted through a criminal background check. 22 C.F.R. 62.25. No guidance is given for
how information gleaned through the background check is to be considered.

associations offer firearms safety training and marksmanship courses as well as the opportunity for
continued practice and competition. The original purpose of the organization was to provide civilians an
opportunity to learn and practice marksmanship skills so they would be skilled marksmen if later called on
to serve the U.S. military. Over the years the emphasis of the program shifted to focus on youth
development through marksmanship. See http://www.odcmp.com/.
12
Records show that with the increase in need for men and women in military service, that the number of
waivers has increased. See http://www.nytimes.com/2008/04/22/washington/22waiver.html. For
information from the Army regarding the impact of a felony conviction, see
http://www.army.com/resources/item/2149.
13
See Military Service and Misdemeanor Convictions, OLR Research Report, Veronica Rose, July 7, 2005.
http://www.cga.ct.gov/2005/rpt/2005-R-0556.htm.
14
See http://www.nationalcasa.org/partners/partner_choicepoint.html and
http://www.nationalcasa.org/volunteer/commitment.html.
15
See http://www.acf.hhs.gov/programs/fysb/content/youthdivision/programs/mcpfactsheet.htm.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Programs Funded by the Corporation for National and Community Service
Any person who is applying for, or serving in, a position for which an individual receives
a Corporation grant-funded living allowance, stipend, education award, salary, or other
remuneration, and which involves recurring access to children, persons age 60 and older,
or individuals with disabilities, must undergo a “suitable” criminal history check. 45
C.F.R. 2522.205 and 45 C.F.R. 2540.200. Persons who are required to register as a sex
offender are barred from participation. 45 C.F.R. 2522.206 and 45 C.F.R. 2540.201. The
person is entitled to a reasonable opportunity to review and challenge the factual
accuracy of a result before the Corporation takes action to exclude the individual from the
position. 45 C.F.R. 2540.204. Covered programs include those through the Senior
Corps, AmeriCorps, AmeriCorps State and National (including grants for Indian tribes
and U.S. territories, AmeriCorps VISTA, AmeriCorps National Civilian Community
Corps, Learn and Serve America and other special initiatives. 16 The Corporation website
provides that in criminal background checks, violent crimes and sexual offenses will
affect a person’s application while minor offenses will not. 17
A current participant in an AmeriCorps program will be released for cause if he or she is
convicted of a felony or the sale or distribution of a controlled substance during the term
of service. 45 C.F.R. 2522.230. A person’s term of service will be suspended if that
person faces an official charge of a violent felony (e.g., rape, homicide) or sale or
distribution of a controlled substance or is convicted of possession of a controlled
substance. 45 C.F.R. 2522.230. A program may reinstate the person whose service was
suspended if the individual is found not guilty or if the charge is dismissed. A program
may also reinstate an individual whose service was suspended due to a conviction related
to the possession of a controlled substance only if the person demonstrates that he or she
has enrolled in a drug rehabilitation program if it was the first offense or successful
completion of a drug rehabilitation program if there were multiple offenses. 45 C.F.R.
2522.230.

III. Federal Employment
Although only a few statutes impose specific consequences (in federal law enforcement
and child care for federal workers, outlined below), each agency within the federal
government also requires a background check for potential employees. 18 Moreover,
contract workers who work in federal buildings performing janitorial or culinary jobs,
among others, are subject to a background check by the Federal Protective Service. 19 No
government-wide guidance is provided regarding consideration of a criminal record in
government employment, with the exceptions below.

16

For more information about these programs, see
http://www.nationalservice.org/about/programs/index.asp.
17
See http://www.americorps.org/about/programs/vista_background.asp.
18
Executive Order 10450—Security requirements for Government employment, April 27, 1953.
http://www.archives.gov/federal-register/codification/executive-order/10450.html.
19
See http://www.ice.gov/pi/fps/org_hfs.htm.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Federal Law Enforcement Officers
Federal law enforcement officers 20 convicted of felonies must be removed from service
without exception. 5 U.S.C. 7371 and 5 U.S.C. 8331(20). The only appeal is for whether
the person is, in fact, a law enforcement officer, whether the conviction was a felony, and
whether the conviction was overturned. The statutes do not specify whether a past
conviction may be grounds for refusal to hire or reinstate.
Child Care for Federal Workers
“Each agency of the Federal Government, and every facility operated by the Federal
Government (or operated under contract with the Federal Government), that hires (or
contracts for hire) individuals involved with the provision to children under the age of 18
of child care services shall assure that all existing and newly-hired employees undergo a
criminal history background check.” 40 U.S.C. 590 and 42 U.S.C. 13041.
Any conviction for a sex crime, an offense involving a child victim, or a drug felony,
may be ground for denying employment or for dismissal of certain employees.
Convictions for crimes other than sex crimes may be considered if they bear on the
individual’s fitness to have responsibility for the safety and well-being of children. 42
U.S.C. 13041.
See also 32 C.F.R. Part 86 and appendices regarding components of the Department of
Defense including the Office of the Secretary of Defense, the Military Departments, the
Chairman of the Joint Chiefs of Staff and the Joint Staff, the Unified and Specified
Commands, the Inspector General of the Department of Defense, the Defense Agencies,
and the Department of Defense Field Activities. In particular, mandatory and
discretionary disqualifying criteria are outlined. 32 C.F.R. Pt. 86, App. B. Suitability
considerations are outlined.

IV. Federal Licensure and Procurement
Security Regulation of the Transportation Industry
Since 9/11, the nation’s transportation industry has adopted a new regime of criminal
background checks intended to identify workers who may pose a terrorism security risk.
20

“Law enforcement officer” means an employee, the duties of whose position are primarily the
investigation, apprehension, or detention of individuals suspected or convicted of offenses against the
criminal laws of the United States, including an employee engaged in this activity who is transferred to a
supervisory or administrative position. 5 U.S.C. 8331(20). “Law enforcement officer” also means (A) an
employee, the duties of whose position (i) are primarily (I) the investigation, apprehension, or detention of
individuals suspected or convicted of offenses against the criminal laws of the United States, or (II) the
protection of officials of the United States against threats to personal safety; and (ii) are sufficiently
rigorous that employment opportunities should be limited to young and physically vigorous individuals, as
determined by the Director considering the recommendations of the employing agency. 5 U.S.C. 8401(17).
For a list of agencies with federal law enforcement positions, see
http://federaljobs.net/law.htm#LAW_ENFORCEMENT.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Starting with the USA Patriot Act, 49 U.S.C. § 5103a, a succession of federal laws and
regulations have been enacted to screen workers employed in the air, sea and ground
transportation industries. Although the laws themselves vary in specificity, by regulation
and policy the Transportation Security Administration (TSA) has attempted to harmonize
the different screening policies, though the Aviation and Transportation Security Act of
2001 imposes more stringent limits on airport employment than those applicable to
maritime employees and commercial drivers. A criminal conviction may disqualify a
person from employment or from receiving an identifying credential, as set forth below. 21
Airport, Air Travel, and Air Commerce
A background check is required of any person who would work as a security screener or
otherwise have unescorted access to secure areas of an airport. 49 U.S.C. 44935, 44936.
See also 49 U.S.C. 114. There is a long list of crimes for which a conviction in the
previous10 years would bar employment, and there is no provision for waiver. See 49
U.S.C. 44936(b)(B) and 49 C.F.R 1542.209(d). The person has the ability to dispute the
information in the background check and correct any errors.
An airman certificate issued under 49 U.S.C. 44703 may be amended, modified,
suspended or revoked for a conviction of airborne hunting (49 U.S.C. 44709) and shall be
revoked if the person is convicted in a state or federal court of a felony related to a
controlled substance if an aircraft or service as an airman was related to the commission
of the offense or the person knowingly engaged in such an activity. 49 U.S.C. 44710.
The decision to revoke or otherwise modify a certificate can be appealed to the National
Transportation Safety Board and an acquittal bars revocation. Any conviction for the
growing, processing, manufacture, sale, disposition, possession, transportation, or
importation of drugs is grounds for a denial of an application for any certificate, rating, or
authorization for 1 year after the date of the conviction or suspension or revocation of any
certificate, rating, or authorization. 14 C.F.R. 61.15. Two convictions for the operation
of a motor vehicle while intoxicated, impaired or under the influence of alcohol or drugs
within three years of each other are grounds for denial of an application for up to one
year after the conviction or suspension or revocation of a certificate, rating, or
authorization.

21

For a review of the effect of criminal convictions on airport and air carrier workers, as interpreted by the
Transportation Security Administration, including what constitutes a conviction and the effect of
expungement and pardon, see Legal Guidance on Criminal History Checks, Transportation Security
Administration, http://www.deferredadjudication.org/79th/legal_help/TSA_CHRC_Legal_Guidance.doc.
The TSA takes the position that a “conviction” does not include expunged and pardoned offenses, and
convictions that have been set aside after successful completion of probation. To qualify under this
provision, an expungement must “nullify” the conviction, which means “the conviction is removed from
the individual's criminal history record and there are no legal disabilities or restrictions associated with the
expunged conviction, other than the fact that the conviction may be used for sentencing purposes for
subsequent convictions." 49 C.F.R. §1570.3

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Transportation Worker Identification Credential – Port Security
All port workers must have a Transportation Worker Identification Credential (TWIC).
Affected workers are those requiring unescorted access to secure areas of maritime
facilities and vessels regulated by the Maritime Transportation Security Act of 2002
(Public Law 107-295) including merchant mariners, port truck drivers, longshoremen,
administrators, contractors, and rail workers. Felony and misdemeanor convictions will
bar potential TWIC recipients if they fall into one of two categories – “permanent
disqualifying criminal offenses” and “interim disqualifying criminal offenses.” 46 U.S.C.
70105, 49 C.F.R. 1515.7, and 49 C.F.R. 1572.103. 22 Permanent disqualifying criminal
offenses are very serious offenses including the commission of or conspiracy to commit
espionage, sedition, treason, terrorism, murder, crimes involving explosive devices. 46
U.S.C. 70105(c)(1)(A). There is a long list of interim disqualifying offenses which bar a
person for either seven years from the date of conviction or for five years from release
from incarceration. 46 U.S.C. 70105(c)(1)(B). All potentially disqualifying offenses are
eligible for a waiver, except espionage, sedition, treason, or terrorism. 49 C.F.R. 1515.7.
A person may also appeal to correct misinformation which was included in the
background check.
A “conviction” is defined as
any plea of guilty or nolo contendere, or any finding of guilt, except when the
finding of guilt is subsequently overturned on appeal, pardoned, or expunged. For
purposes of this subchapter, a conviction is expunged when the conviction is
removed from the individual's criminal history record and there are no legal
disabilities or restrictions associated with the expunged conviction, other than the
fact that the conviction may be used for sentencing purposes for subsequent
convictions. In addition, where an individual is allowed to withdraw an original
plea of guilty or nolo contendere and enter a plea of not guilty and the case is
subsequently dismissed, the individual is no longer considered to have a
conviction for purposes of this subchapter. 49 C.F.R. 1570.3. 23
Commercial Motor Vehicle Operator License
Certain crimes related to the operation of a commercial motor vehicle, as well as the
operation of a non-commercial motor vehicle, cause a mandatory license suspension.
Generally, first-time offenses cause a one year bar and second and multiple charge
offenses will lead to a lifetime bar. There is a lifetime bar for a felony conviction of the
use of a commercial motor vehicle during the manufacture, dispensing or distributing of
controlled substances or possession with the intent to manufacture, dispense, or distribute
22

See A Worker’s Guide to the Transportation Worker Identification Credential (TWIC) Application,
Appeal and Waiver Process, National Employment Law Project, December 2007.
http://nelp.3cdn.net/a3b29a121e0fa74495_jfzm68o8p.pdf. See also http://www.aapaports.org/Issues/USGovRelDetail.cfm?itemnumber=1047 and
http://www.tsa.gov/what_we_do/layers/twic/twic_faqs.shtm.
23
See also http://www.tsa.gov/what_we_do/layers/twic/twic_faqs.shtm#disqualification

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

a controlled substance. (49 U.S.C. 31310). 24 A one-time reinstatement is available for
some offenses after 10 years. Subsequent offenses are not eligible for reinstatement. 29
C.F.R. 383.51.
Hazardous Material Endorsement
In order to be eligible for a hazardous materials endorsement to a commercial motor
vehicle operator license, a person must first undergo a background check in accordance
with the requirements of the TWIC. 49 U.S.C. 5103a, 49 C.F.R. 1515.7, and 49 C.F.R.
1572.5. Drivers requiring hazardous materials endorsements range from municipal trash
collectors carrying items like bleach and batteries, to interstate truckers carrying nuclear
and biological waste.
Locomotive Operator License
A conviction within the past five years for operating under the influence of alcohol or
another substance or a conviction arising out of a fatal vehicle accident, reckless driving,
or racing, must be considered in the application for a license for any operator of a
locomotive. The prohibition may be waived if the individual successfully completes a
rehabilitation program. A person who has been denied a license is entitled to a hearing.
49 U.S.C. 20135.
Under 49 C.F.R. 240.115, a current licensee who, within the previous 36 months has had
a conviction for, or completed state action to cancel, revoke, suspend, or deny a motor
vehicle drivers license for, operating a motor vehicle while under the influence of or
impaired by alcohol or a controlled substance; or a conviction for, or completed state
action to cancel, revoke, suspend, or deny a motor vehicle driver’s license for, refusal to
undergo such testing as is required by State law when a law enforcement official seeks to
determine whether a person is operating a vehicle while under the influence of alcohol or
a controlled substance, must undergo an Employee Assistance Program evaluation for a
determination whether an active substance abuse problem exists. If so, the person’s
certificate will be suspended and not be eligible for reinstatement of the certificate unless
and until the person has successfully completed any program of counseling or treatment
determined to be necessary by the EAP Counselor prior to return to service, and provided
a clean urine sample. Follow-up may be required for up to 60 months. 49 C.F.R.
240.119.
Merchant Mariners
In accordance with regulations, criminal convictions are considered in applications for
Merchant Mariner Documents. Moreover, a merchant mariner’s license, certificate or
document may be suspended or revoked for certain convictions. 46 U.S.C. 7703. In
particular, a merchant mariner’s document may be denied if, within the 10-year period
before applying for the license, certificate, or document, the person has been convicted of
24

See http://www.fmcsa.dot.gov/rulesregulations/administration/fmcsr/fmcsrruletext.asp?rule_toc=752&section=383.51&section_toc=1322.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

violating a state or federal dangerous drug law. 46 U.S.C. 7503. Various assessment
periods within a range of years are set out for certain types of convictions based on a set
of tables set out in the regulations. 46 CFR 12.02-4. Prior to the minimum number of
years in the assessment period, an application will be denied unless a person proves
suitability. Within the assessment period, the conviction will be considered and
application will be granted unless there are offsetting factors. “Offsetting factors include
such factors as multiple convictions, failure to comply with court orders (e.g., child
support orders), previous failures at rehabilitation or reform, inability to maintain steady
employment, or any connection between the crime and the safe operation of a vessel.”
After the assessment period the application will be granted unless the Officer in Charge,
Marine Inspection considers the applicant unsuitable.
Registration of Commodity Dealers and Associated Persons
The Commodity Futures Trading Commission oversees the registration of futures
commission merchants and associated persons, introducing brokers and associated
persons, commodity trading advisors and associated persons, commodity pool operators
and associated persons, floor brokers, and floor traders. The Commission may, with
notice but without a hearing, refuse to register, to register conditionally, or to suspend or
place restrictions upon the registration of or, with a hearing, revoke the registration of any
person who has been convicted of certain felonies within ten years prior to the filing of
the application or any time thereafter. 7 U.S.C. 12a(2). Enumerated felonies include
those related a contract of sale of a commodity for future deliver, the conduct of business
of the registered party, or crimes related to theft and fraud. A person may appeal from a
decision to refuse registration, condition registration, suspend, revoke or place
restrictions upon registration.
The Commission may also refuse to register or to register conditionally, after opportunity
for a hearing, any person who has pleaded guilty or nolo contendere to or been convicted
of any other felony (including any offense that would be a felony under federal law);
pleaded guilty to or been convicted of a misdemeanor including those related to a
contract of sale of a commodity for future delivery, the conduct of business of the
registered party, or theft and fraud. A person may appeal from a decision to refuse
registration, condition registration, suspend, revoke or place restrictions upon
registration. 7 U.S.C. 12a(3).
Broadcast Licensing
In the evaluation of an applicant or licensee’s “character” for purposes of the Federal
Communications Commission (FCC), the FCC will consider any conviction for a
felony or serious misdemeanor conviction in appropriate or compelling cases,
particularly where there is a pattern of such convictions. The FCC has a policy of
recognizing that “there are mitigating factors that must be taken into consideration.” 47
C.F.R. 73.4280. The FCC provides an opportunity for a hearing on character issues.

24
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The Public Defender Service for the District of Columbia

Farm Labor Contractors
The Migrant and Seasonal Worker Protection Act requires any person (or business) who
recruits, solicits, hires, employs, furnishes, or transports migrant or seasonal agricultural
workers (“farm labor contracting activities”) to obtain a certificate of registration before
engaging in farm labor contracting activities. Persons who are employed by farm labor
contractors to engage in farm labor contracting activities are required to register as well.
The certificate of registration may be denied if within five years the person has certain
convictions, including those related to gambling or the sale of alcohol in relation to farm
labor contracting activities, and certain additional specified serious felony convictions. 29
U.S.C. 1813. A person who is refused a new or renewed certificate can request a hearing
before an administrative law judge and, ultimately, judicial review in the United States
District Court where the applicant is located.25
United States Grain Standards Act
A license under the United States Grain Standards Act for a warehouseman sampler,
technician, sampler, weigher, contract sampler, or inspector may be denied, suspended, or
summarily revoked due to a conviction of any offense with respect the performance of
functions of the licensed person. A hearing can be requested following suspension. 7
U.S.C. 85.
Arms Export Control
Any person (other than a government employee) who wishes to engage in the business of
manufacturing, exporting or importing any defense article or service must register with
the United States government. 22 U.S.C. 2778. In order to engage in the business of
brokering activities with respect to the manufacture, export, import, or transfer of any
defense article or defense service must have a license. No export license will be issued to
a person who is under indictment for or has been convicted of certain enumerated crimes.
22 U.S.C. 2778(g). The President and Secretary of the Treasury may make an exception
on a case-by-case basis after a “thorough review of the circumstances surrounding the
conviction.”
Atomic Energy – Nuclear Regulatory Commission
Any person who requires unescorted access to a utilization facility or access to
radioactive material or other property subject to regulation by the Commission or who
has access to safeguards information must be fingerprinted. 42 U.S.C. 2169(a). No final
determination may be made solely on the basis of an arrest more than 1 year old for
which there is no information of the disposition of the case or an arrest that resulted in
dismissal of the charge or an acquittal. 42 U.S.C. 2169(c). For all personnel, the
Commission will consider “past actions which are indicative of an individual’s future
25

See Instructions for Form WH-530: Application for a Farm Labor Contractor or Farm Labor Contractor
Employee Certificate of Registration, U.S. Department of Labor Wage and Hour Division,
http://www.dol.gov/esa/whd/forms/fts_wh530.htm.

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reliability within a protected or vital area of a nuclear power reactor.” 10 C.F.R.
73.56(b). In addition, security personnel must “have no felony convictions involving the
use of a weapon and no felony convictions that reflect on the individual’s reliability.” 10
C.F.R. Pt. 73, App. B. The Commission may waive the requirements upon specified
terms, conditions, and periods, if the Commission finds that such action is consistent with
its obligations to promote the common defense and security and to protect the health and
safety of the public. 42 U.S.C. 2169.
Customs Broker License
In an application for a custom broker’s license, a person may be required to show good
moral character. A current license may be suspended or revoked if the person has been
convicted of certain felonies and misdemeanors at any time after the filing of the
application for a license. A felony or misdemeanor conviction will be considered if it
involved the importation or exportation of merchandise, arose out of the conduct of
customs business, or involved larceny, theft, robbery, extortion, forgery, counterfeiting,
fraudulent concealment, embezzlement, fraudulent conversion, or misappropriation of
funds. 19 U.S.C. 1641. Moreover, a license may be revoked or suspended if a licensee
has knowingly employed, or continues to employ, a person who has been convicted of a
felony without prior approval. Any revocation or suspension action must be commenced
within five years of the alleged violation and a hearing and subsequent court appeal is an
available remedy.
Registration of Brokers and Dealers with the Securities and Exchange Commission
(SEC)
The SEC shall censure, place limitations on the activities, functions or operations of,
suspend for a period not exceeding twelve months, or revoke the registration of any
broker or dealer if the SEC makes certain findings, following notice and opportunity for a
hearing. 15 U.S.C. 78o. The required findings are that the action be in the public interest
and that the broker, dealer or any associated person has been convicted of a felony or
misdemeanor within the ten years preceding the filing of the application or any time
thereafter of a crime involving the sale of a security, honesty, arising out of the conduct
of the business of a broker, dealer, municipal securities dealer, investment adviser, bank,
insurance company, government securities broker, government securities dealer,
fiduciary, transfer agent, or involving a crime of fraud or theft. Judicial review is
available of the agency’s determination.
Registration of Investment Advisers
The SEC shall censure, place limitations on the activities, functions or operations of,
suspend for a period not exceeding twelve months, or revoke the registration of any
investment adviser if the SEC makes certain findings, following notice and opportunity
for a hearing. The required findings are that the action be in the public interest (as
defined in 15 U.S.C. 80b-3(h)(3)) and that the investment adviser or any associated
person has been convicted within the ten years preceding the filing of the application or
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any time thereafter of a crime involving the sale of a security; honesty; arising out of the
conduct of the business of a broker, dealer, municipal securities dealer, investment
adviser, bank, insurance company, government securities broker, government securities
dealer, fiduciary, transfer agent; involving fraud or theft; or any other felony. 15 U.S.C.
80b-3. Judicial review is available of the agency’s determination.
No person may serve in any capacity with a registered investment company or as a
principal underwriter for any registered open-end company, registered unit investment
trust, or registered face-amount certificate company if that person, within the past 10
years, has been convicted of any felony or misdemeanor involving the purchase or sale of
any security or arising out of such person’s conduct as an underwriter, broker, dealer,
investment adviser, municipal securities dealer, government securities broker,
government securities dealer, bank, transfer agent, credit rating agency, or entity or
person required to be registered under the Commodity Exchange Act, or as an affiliated
person, salesman, or employee of any investment company, bank, insurance company, or
entity or person required to be registered under the Commodity Exchange Act. 15 U.S.C.
80a-9. An ineligible person may apply for an exemption. The Commission shall by order
grant such application, either unconditionally or on an appropriate temporary or other
conditional basis, if it is established that the prohibitions as applied to such person, are
unduly or disproportionately severe or that the conduct of such person has been such as
not to make it against the public interest or protection of investors to grant such
application.
Registration of Manufacturers, Distributors, and Dispensers of Controlled Substances
Under 21 U.S.C. 823, a criminal conviction record relating to the manufacture,
distribution, or dispensing of controlled substances must be considered as a factor in an
application for registration with the Drug Enforcement Administration. This also
includes practitioners who wish to conduct research with controlled substances.

V. Federal Regulation of State and Private Employment and Licensure
Prisoner Transportation
Any person who has a felony conviction or misdemeanor domestic violence conviction is
prohibited from working for a private prisoner transport company. 42 U.S.C. 13726 and
28 C.F.R. 97.11. There is no provision for exception or waiver.
Employees of state departments of motor vehicles – REAL ID
As a part of the REAL ID program, participating states must ensure that covered
employees (involved in the manufacture or production of REAL ID driver’s licenses and
identification cards, or who have the ability to affect the identity information that appears
on the driver’s license or identification card, or current employees who will be assigned
to such positions) are subjected to a background check that identifies permanent and
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“interim” disqualifying offenses. 6 C.F.R. 37.45 and 49 C.F.R. 1572.103. If designated
as “interim, “the offense is disqualifying if committed within the last seven years or if the
individual was released from incarceration within the last five years. The states have the
authority to establish procedures for waivers for arrests, but no final disposition has been
reached. REAL ID went into effect May 11, 2008; however, states have been offered
extensions for compliance. 26 Five states have rejected REAL ID - Maine, South
Carolina, Montana, Oklahoma, and New Hampshire. 27
Leadership in Labor Organizations, Consultant or Adviser to an Employee Benefit
Program
A person who has been convicted of certain specified serious offenses, as well as
conspiracy to commit such offenses, including offenses relating to a labor organization or
employee benefit plan, is disqualified from serving in a wide range of capacities relating
to a labor organization or an employee benefits plan, including leadership, consulting,
advising, or any role that requires decisionmaking or has the potential for a share in
profits. The bar lasts for 13 years after the conviction, or until the end of a period of
imprisonment, unless the sentencing court on motion of the convicted person sets a lesser
period of at least three years after such conviction or after the end of such imprisonment.
29 U.S.C. 504, 29 U.S.C. 1111.
The bar may also be removed if the person’s civil rights, “having been revoked as a result
of such conviction, have been fully restored.” In addition, for offenses committed on or
after November 1, 1987, the period of disqualification may be shortened by action of the
sentencing court if a federal offense, or the federal district court where the offense was
committed if a state offense, in accordance with policy statements of the U.S. Sentencing
Commission. 28 The court must determine that the person’s service in a prohibited
capacity would not be contrary to the purposes of the law under which the
disqualification is imposed. See U.S.S.G. 5J1.1 (policy statement implementing §§ 504,
1111).
Banking Institutions
Section 19 of the Federal Deposit Insurance Act prohibits, for a minimum period of ten
years, any person who has been convicted (felony or misdemeanor) of any criminal
offense involving dishonesty or a breach of trust or money laundering, or has agreed to
enter into a pretrial diversion or similar program in connection with a prosecution for
such offense from owning, controlling or working in an insured depository institution, or

26

See http://www.dhs.gov/xprevprot/programs/gc_1200062053842.shtm.
See http://news.cnet.com/FAQ-How-will-Real-ID-affect-you/2009-1028_3-6229517.html.
28
For offenses committed before November 1, 1987, the person must apply to the United States Parole
Commission for a Certificate of Exemption from the prohibition. The applicant must submit forms, a full
application, supportive affidavits and character endorsements. The applicant has a right to a hearing before
an administrative law judge. See 28 C.F.R. Part 4.
27

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bank, absent court approval. 12 U.S.C. 1829. 29 After the 10-year period has elapsed, a
person previously barred may be employed with prior written consent of the FDIC. The
application for approval must be filed by an institution, not an individual seeking
employment, unless the FDIC waives that requirement. There must be “substantial good
cause” for granting an individual waiver. 30
In considering the application for approval and in determining the “degree of risk” the
FDIC will consider:
(1) The conviction or program entry and the specific nature and
circumstances of the covered offense;
(2) Evidence of rehabilitation including the person’s reputation since the
conviction or program entry, the person’s age at the time of conviction or
program entry, and the time that has elapsed since the conviction or
program entry;
(3) The position to be held or the level of participation by the person at an
insured institution;
(4) The amount of influence and control the person will be able to exercise
over the management or affairs of an insured institution;
(5) The ability of management of the insured institution to supervise and
control the person’s activities;
(6) The degree of ownership the person will have of the insured institution
(7) The applicability of the insured institution’s fidelity bond coverage to
the person;
(8) The opinion or position of the primary Federal and/or state regulator;
and
(9) Any additional factors in the specific case that appear relevant.
FDIC policy guidance also notes that “some applications can be approved without an
extensive review because the person will not be in a position to constitute any substantial
risk to the safety and soundness of the insured institution. Persons who will occupy
clerical, maintenance, service or purely administrative positions, generally fall into this
category.” 31
The FDIC policy guidance identifies certain de minimus offenses for which automatic
approval is given:

29

The sentencing court may grant an exception, upon motion by the Corporation, during the 10-year period
if the exception is in the “interest of justice.” 12 U.S.C.A. 1829.
30

See FDIC Statement of Policy for Section 19 of the FDI Act (FDIC Statement), 12-31-98, p. 5155.
http://www.fdic.gov/regulations/laws/rules/5000-1300.html. See also People With Criminal Convictions
Working in Financial Institutions: The Rules on FDIC Waivers, National H.I.R.E. Network,
http://www.hirenetwork.org/FDIC.html.
31
FDIC Statement, supra note 23.

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Approval is automatically granted and an application will not be required
where the covered offense is considered de minimis, because it meets all
of the following criteria:
• There is only one conviction or program entry of record for a covered
offense;
• The offense was punishable by imprisonment for a term of less than
one year and/or a fine of less than $1000, and the individual did not serve
time in jail;
• The conviction or program was entered at least five years prior to the
date an application would otherwise be required; and
• The offense did not involve an insured depository institution or insured
credit union.
Any person who meets the foregoing criteria shall be covered by a
fidelity bond to the same extent as others in similar positions, and shall
disclose the presence of the conviction or program entry to all insured
institutions in the affairs of which he or she intends to participate. 32
Business of Insurance
A person who has been convicted of a crime involving dishonesty or breach of trust may
not engage in the business of insurance, defined as the writing of insurance or the
reinsuring of risks by an insurer, including all acts necessary or incidental to such writing
or reinsuring and the activities of persons who act as, or are, officers, directors, agents, or
employees of insurers or who are other persons authorized to act on behalf of such
persons. 18 U.S.C. 1033. A person who is otherwise barred may receive written consent
from the relevant insurance regulatory official in order to again engage in the business of
insurance. 33
Mortgage Loan Originator License
In order to qualify for licensing and registration as a State-licensed loan originator, a
person may not have been convicted of, or pled guilty or nolo contendere to, a felony in a
domestic, foreign, or military court in the 7-year period preceding the date of the
application for licensing and registration; or at any time preceding such date of
application, if the felony involved an act of fraud, dishonesty, or a breach of trust, or
money laundering. 12 U.S.C. 5104.

32

FDIC Statement, supra note 23.

33

See http://www.ins.state.ny.us/ogco2000/rg000102.htm, an informal opinion published by the New York
State Insurance Department Office of General Counsel on January 12, 2000, regarding the bar and consent
request process.

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American Bar Association Commission on Effective Criminal Sanctions
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Elementary and Secondary School Employees
The Safe and Drug-Free Schools and Communities Act, Title IV, Part A of the
Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child
Left Behind Act of 2001 (Public Law 107-110) authorizes funding for a nationwide
background check for all current and potential local educational agency employees. The
purpose of the background check is to determine whether the employee or prospective
employee has been convicted of a crime that bears upon the employee’s fitness to be
responsible for the safety or well-being of children; to serve in the particular capacity in
which the employee or prospective employee is or will be employed; or to otherwise be
employed by the local educational agency. 20 U.S.C. 7115. See also the Schools Safe
Act, 42 U.S.C. 16962, which authorizes states to conduct fingerprint-based checks of the
national crime information databases.
Care Providers for Vulnerable Populations (Children, the Elderly and Individuals With
Disabilities)
Child care workers other than those operating under contract with the Federal
Government may be required to undergo a background check by individual states.
Congress has authorized state agencies access to a nationwide background check for the
purposes of determining whether a provider has been convicted of a crime (felony or
misdemeanor) that bears upon the provider’s fitness to have responsibility for the safety
and well-being of children, the elderly, or individuals with disabilities. 42 U.S.C. 5119a.
The person has the ability to contest the accuracy of the background check. See also note
to 28 U.S.C. 534 which gives nursing care facilities and home health care agencies access
to background checks on prospective employees as well.
A pilot program was created in April 2003 allowing the Boys and Girls Clubs of
America, the MENTOR/National Mentoring Partnership, the National Council of Youth
Sports; and any nonprofit organization that provides care, to perform fingerprint
background checks through the FBI on potential volunteers. 42 U.S.C. 5119a (note). If
the organizations determine, based on the information in the check, that the person is not
fit for volunteer work, the person has the right to contest the accuracy of the information.
Care for Native American Children
The Secretary of the Interior and the Secretary of Health and Human Services must
compile a list of all positions within their respective departments involving regular
contact with, or control over, Indian children; conduct an investigation of the character of
each individual who is employed, or is being considered for employment, in such a
position; and prescribe by regulation minimum standards of character that each of such
individuals must meet to be appointed to such positions. Minimum standards set by law
are that no person may work for a state agency with regular contact with, or control over,
Native American children if that person has been “found guilty of, or entered a plea of
nolo contendere or guilty to, any felonious offense, or any two or more misdemeanor
offenses, under Federal, State, or tribal law involving crimes of violence; sexual assault,
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molestation, exploitation, contact or prostitution; crimes against persons; or offenses
committed against children.” 25 U.S.C. 3207(b).
Community Supported Living Arrangement Services
A provider of community supported living arrangement services under grants to states for
medical assistance programs may not hire individuals who have been convicted of child
or client abuse, neglect, or mistreatment or of a felony involving physical harm to an
individual. 42 U.S.C. 1396u and 42 CFR 441.404.
The term “community supported living arrangements services” means one
or more of the following services meeting the requirements of subsection
(h) provided in a State eligible to provide services under this section (as
defined in subsection (d)) to assist a developmentally disabled individual
(as defined in subsection (b)) in activities of daily living necessary to
permit such individual to live in the individual’s own home, apartment,
family home, or rental unit furnished in a community supported living
arrangement setting:
(1) Personal assistance.
(2) Training and habilitation services (necessary to assist
the individual in achieving increased integration,
independence and productivity).
(3) 24-hour emergency assistance (as defined by the
Secretary).
(4) Assistive technology.
(5) Adaptive equipment.
(6) Other services (as approved by the Secretary, except
those services described in subsection (g)).
(7) Support services necessary to aid an individual to
participate in community activities.34
Hospice Care
All hospices must obtain a criminal background check on all hospice employees who
have direct patient contact or access to patient records. Hospice contracts must require
that all contracted entities obtain criminal background checks on contracted employees
who have direct patient contact or access to patient records. The federal regulation
provides that criminal background checks must be obtained in accordance with the
34

See http://www.socialsecurity.gov/OP_Home/ssact/title19/1930.htm.

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requirements. In the absence of state requirements, criminal background checks must be
obtained within three months of the date of employment for all states that the individual
has lived or worked in the past three years. 42 C.F.R. 418.144. No guidance is given as
to how criminal history information is to be considered.
Private Security
The note to 28 U.S.C. 534 allows authorized private security employers to have access to
FBI criminal background information. The information provided is guided by state
standards. If no standards are available then the report will include any conviction of a
felony, a “lesser offense” involving dishonesty or false statement if occurring within the
previous ten years, a conviction of a “lesser offense” involving the use or attempted use
of physical force against the person of another if occurring within the previous ten years,
or a felony charge during the previous 365 days for which there has been no resolution.
28 C.F.R. 105.23. The person has the right to contest the information in the report. 28
C.F.R. 105.24.
Court-imposed Occupational Restrictions
In addition to collateral sanctions and disqualifications, federal courts are authorized to
impose certain occupational restrictions as a condition of probation or supervised release
by 18 U.S.C. 3563(b)(5), 3583(d) and the United States Sentencing Guidelines.
Specifically, the court may require a defendant to refrain from engaging in the
occupation, or to engage in it only to a stated degree or under stated circumstances.
Restrictions are authorized when a “reasonably direct relationship” exists between the
defendant’s occupation and the offense conduct, 18 U.S.C. 3563(b)(5), U.S.S.G.
5F1.5(a)(1); and the conditions are “reasonably necessary to protect the public because
there is reason to believe that, absent such restriction, the defendant will continue to
engage in unlawful conduct similar to that for which the defendant was convicted.”
U.S.S.G. 5F1.5(a)(2). If such an occupational restriction is imposed, it must be imposed
“for the minimum time and to the minimum extent necessary to protect the public.”
U.S.S.G. 5F1.5(b).

VI. Debarment from Participation in Federal Programs
Health Care Providers Participating in Federal Health Care Programs Such as
Medicare and Medicaid
Mandatory and permissive exclusions from participation in any federal health care
program and designated state health care programs, based upon conviction of certain
types of crimes, are set forth in 42 U.S.C. 1320a-7. The Secretary of the Department of
Health and Human Services must exclude health care providers with a conviction of a
program-related crime, a crime relating to patient abuse, a crime related to health care
fraud, or a felony relating to the unlawful manufacture, distribution, prescription, or
dispensing of a controlled substance. A permissive exclusion exists for a conviction
relating to fraud, theft, embezzlement, breach of fiduciary responsibility or other financial
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

misconduct relating to health care service; a conviction related to obstruction of an
investigation of the commission of a crime related to health care services; or a
misdemeanor relating to the unlawful manufacture, distribution, prescription, or
dispensing of a controlled substance. The mandatory and permissive exclusions also
include those with ownership or management roles in healthcare who have been
convicted of the above-referenced crimes or who know or should have known of the
action constituting the basis for the conviction or exclusion.
For a conviction of a crime 35 that is a mandatory exclusion, the minimum period of
exclusion is five years unless it is determined that the exclusion would impose a hardship
on those entitled to benefits (patients). The exclusion may be waived if the individual or
entity is the sole community physician or sole source of essential specialized services in
the community. The decision regarding a waiver is not reviewable. A second conviction
will result in at least a 10-year bar and any subsequent offense will result in a permanent
bar. Where exclusion is permissive, it is for three years unless mitigating circumstances
warrant a shorter period or aggravating circumstances demand a longer period. 42 U.S.C.
1320a-7. The statue requires notice and opportunity for a hearing before an
administrative law judge prior to the application of an exclusion unless the health or
safety of individuals receiving services warrants giving the exclusion earlier effect.
Reinstatement may be granted to the excluded individual or entity if there is no basis for
the continuation of the exclusion and there are reasonable assurances that the types of
actions that formed the basis for the original exclusion have not recurred and will not
recur. See also 42 C.F.R. Part 1001, in particular sections 1001.102, 1001.201, 1001.301,
1001.401, 1001.501, 1001.601, 1001.1801, 1001.1901, 1001.2007, and 1001.3002
regarding aggravating factors that may lengthen the period of exclusion, waivers, and
applications for reinstatement.
Federal Procurement
Under a series of executive orders, conviction of a designated crime may result in
suspension or debarment from participating in federal procurement. 5 C.F.R. 919.605, 5
C.F.R. 919.800, 48 C.F.R. 9.406-2 and 48 C.F.R. 9.407-2. In addition, all federal
agencies must participate in a system of debarment and suspension for non-procurement
programs and debarment or suspension of a participant in a program by one agency shall
have government-wide effect. The period of debarment is generally no more than three
years. The person has the right to a hearing prior to debarment. The Office of Personnel
Management has issued guidelines to implement the executive orders’ provisions
concerning non-procurement programs, 5 C.F.R. Part 919, and regulations pertaining to
procurement programs are set forth in 48 C.F.R. Subpart 9.4.

35

A conviction for this purpose is a judgment of conviction regardless of any appeals or expungement; a
finding of guilt; a plea of guilty or nolo contendere; and any participation in a first offender, deferred
adjudication, or other arrangement or program where judgment of conviction has been withheld. 42 U.S.C.
1320a-7(i).

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Defense Contractors
A person who has been convicted of fraud or any other felony arising out of a contract
with the Department of Defense is, for a period of not less than five years, prohibited
from working on a defense contract or first tier subcontract in a management or
supervisory capacity, as a member of the contractor’s board of directors or as a consultant
on the contract, or from being involved in any other capacity “with the authority to
influence, advise, or control the decisions of the contractor with regard to this contract,”
unless a waiver is granted by the Secretary “in the interest of national security.” 10
U.S.C. 2408 and 48 C.F.R. 252.203-7001. The waiver request must identify the person
involved; the nature of the conviction and resultant sentence or punishment imposed; the
reasons for the requested waiver; and an explanation of why a waiver is in the interest of
national security. 48 C.F.R. 252.203-7001. 36
Explosive Materials License
A license or permit to import, manufacture, or deal in explosive materials will not be
issued to a person who is under indictment for or has been convicted of a crime
punishable for a term exceeding one year or to a person who has an employee described
above who will possess the explosive materials. 18 U.S.C. 843. A current license or
permit may be revoked for the same reason. The applicant who is denied may request a
hearing and may appeal a hearing denial to the United States court of appeals of
appropriate venue.
Food and Drug Administration Debarment, Suspension, or Denial of Approval
Mandatory and permissive periods of debarment from participation in aspects of the drug
industry depending upon the type of crime are set forth in 21 U.S.C. 335a. An individual
who has been convicted of a federal felony for conduct relating to the development or
approval of a drug product, including the process for development or approval of any
drug product or otherwise related to the regulation of any drug product is subject to
mandatory debarment from providing services in any capacity to a person (corporation,
partnership, or association) that has an approved or pending drug application. 21 U.S.C.
335a(a)(2).
There is a permissive debarment for an individual providing services in any capacity to a
person who has an approved or pending drug application if that individual has been
convicted of a state felony or federal misdemeanor for conduct (including conspiracy to
commit or aiding or abetting) relating to the development or approval, including the
process for development or approval of any abbreviated drug application, if a

36

Restrictions on eligibility for a Defense Department security clearance applicable to persons convicted
of a felony and actually incarcerated for a period of not less than one year (the so-called “Smith Act”) were
repealed effective January 1, 2008 by Pub. L. 110-181, 122 Stat. 3, 110th Cong., 2d Sess. See 10 U.S.C. §
986 (c)(1)(2007 ed.).

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determination is made that the type of conduct that served as the basis for such conviction
undermines the process for the regulation of drugs. 21 U.S.C. 335a(b)(2).
There is a permissive debarment for an individual who has been convicted (including
conspiracy to commit or aiding or abetting) a felony that involves bribery, payment of
illegal gratuities, fraud, perjury, false statement, racketeering, blackmail, extortion,
falsification or destruction of records, or interference with, obstruction of an investigation
into, or prosecution of, any criminal offense if the individual “has demonstrated a pattern
of conduct sufficient to find that there is reason to believe that such individual may
violate the requirements relating to drug products.” 21 U.S.C. 335a(b)(2).
Regarding food importation, there is a permissive debarment for those convicted of a
felony for conduct relating to the importation into the United States of any food. 21
U.S.C. 335a(b)(3).
A conviction includes a judgment of conviction regardless of whether an appeal is
pending, a plea of guilty or nolo contendere, or participation in a first offender, deferred
adjudication, or other similar arrangement or program where judgment of conviction has
been withheld. 21 U.S.C. 335a(l)(1).
A mandatory debarment for an individual is permanent. A permissive debarment may
not be for more than five years and periods of debarment for multiple offenses may run
concurrently or consecutively. Several factors will be considered in determining the
period of debarment, including the nature and serious of the offense, management
participation in the offense, efforts to mitigate the impact of the offense, and other
factors. See 21 U.S.C. 335a(c)(3). If the conviction on which the debarment was based
is reversed, the order of debarment will be withdrawn. A non-permanent period of
debarment may be terminated upon application if “such termination serves the interests of
justice and adequately protects the integrity of the drug approval process or the food
importation process.” 21 U.S.C. 335a(c)(3). A permanent period of debarment may be
specially terminated if, after an informal hearing, a determination is made that the
individual has provided “substantial assistance in the investigations or prosecution” of
other offenses. A termination or special termination may not reduce the debarment to a
period less than one year.
Criminal activity, including that for which a person is under investigation, may be
considered in the refusal to approve any abbreviated drug application or the suspension of
the distribution of all drugs the development or approval of which is related to such
conduct.
Loss of Federal Grants, Contracts and Licenses Due to a Conviction of Distribution of
Controlled Substances
Any person convicted of distribution of controlled substances may, at the discretion of
the sentencing court, lose their right to federal benefits in the form of grants, contracts,
loans, professional license or commercial license. For the first conviction the ineligibility
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period may be up to 5 years, for the second conviction the ineligibility period may be up
to 10 years. For a third or subsequent conviction ineligibility is mandatory and
permanent. 21 U.S.C. 862(a). Any person convicted of possession of a controlled
substance may, at the discretion of the sentencing court, be ineligible for federal benefits
for up to one year. For second and subsequent convictions the ineligibility period may be
up to 5 years. 21 U.S.C. 862(b). The period of ineligibility under either of these sections
shall be waived if the person declares him or herself an addict and submits to long-term
treatment for addiction or is otherwise deemed to be rehabilitated. The period of
ineligibility may be suspended for the same reasons or also if the person has tried to get
treatment, however it proves to be inaccessible or unavailable. A federal benefit is the
issuance of any grant, contract, loan, professional license, or commercial license provided
by an agency of the United States or by funds appropriated by the United States. It does
not include retirement, welfare, Social Security, health, disability, veterans benefit, public
housing, or other similar benefit.

VII. Family Related Matters
Adoption and Safe Families Act
The Adoption and Safe Families Act (ASFA) of 1997 (Public Law 105-89) deals with
federal grants given to states for foster care and adoption assistance. In order for a State
to be eligible for the grants under this Act, the State must have a plan in place that meets
the ASFA requirements. 37 42 U.S.C. 671(20)(a). The Adam Walsh Child Protection and
Safety Act (Public Law 109-248), further required a fingerprint-based background check
of prospective foster and adoptive parents. 38 Under the provisions of the ASFA, a person
is barred from being a foster or adoptive parent if that person has a felony conviction of
child abuse or neglect, spousal abuse, a crime against a child (including child
pornography), and certain violent crimes including rape, sexual assault and homicide.
There is a five year bar for a felony conviction of physical assault, battery, or a drug
related offense.
The ASFA requires that a state file a petition for the termination of parental rights in the
case of a child who has been in foster care under the responsibility of the State for 15 of
the most recent 22 months, or, if a court of competent jurisdiction has determined a child
to be an abandoned infant (as defined under State law), unless the child is being cared for
by a relative, or “if a State agency has documented in the case plan (which shall be
available for court review) a compelling reason for determining that filing such a petition

37

See http://www.acf.hhs.gov/programs/cb/laws_policies/policy/pi/pi9802.htm. The Child Welfare
Information Gateway produced a state law summary in April 2008. You can download this information at
http://www.childwelfare.gov/systemwide/laws_policies/statutes/background.cfm.
38
See http://www.whitehouse.gov/news/releases/2006/07/20060727-7.html. States are allowed to conduct
fingerprint-based checks of the national crime information databases through the Schools Safe Act at 42
U.S.C. 16962.

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would not be in the best interests of the child.” This means that a custodial parent
sentenced to more than 22 months in prison may lose parental rights.
The ASFA also requires that states file a petition for the termination of parental rights in
any case where a parent is convicted of the murder of a child sibling or another child;
voluntary manslaughter of a child sibling or another child; aiding or abetting, attempting,
conspiring, or solicitation to commit such a murder or such a voluntary manslaughter; or
felony assault that has resulted in serious bodily injury to the child who is the subject of
the petition, a child sibling, or another child. 42 U.S.C. 675(5).
Foreign Exchange Student and Au Pair Host Families
Federal law requires that any member of a potential host family for a Department of State
sponsored foreign exchange student or au pair undergo a background check. There is no
guidance provided for consideration of information provided in the background check.
22 C.F.R. 62.25 and 22 C.F.R. 62.31.

VIII. Federal Benefits, Passport and Drivers’ Licensing
Social Security Benefits
In an application for benefits on the basis of disability from the Social Security
Administration (SSA), the SSA will not consider any physical or mental impairment, or
any increase in severity (aggravation) of a preexisting impairment, which arises in
connection with the commission of a felony after October 19, 1980, if the person was
convicted of the crime. 20 C.F.R. 404.1506. For instance, a person shot during a bank
robbery may not receive benefits for a disability arising out of the gunshot wound.
A person who has been convicted of a felony is barred from serving as a representative
payee for a beneficiary entitled to benefits under Titles II and XVI of the Act. 42. U.S.C.
1383 (a)(2)(B)(ii)(IV). The Commissioner may make an exception by determining that
the certification as a representative payee would be appropriate notwithstanding the
conviction. 42. U.S.C. 1383 (a)(2)(B)(iii)(IV).
Temporary Assistance to Needy Families and Food Stamps
There is a federal lifetime ban from Temporary Assistance to Needy Families and food
stamps due to a felony drug conviction. 21 U.S.C. 862a(a). Under the federal statute
individual states have been given the authority to opt out of or otherwise modify the ban,
including limiting the length of time of the ban or linking the ban to addiction treatment.
The District of Columbia opted out of the drug conviction ban. The Commonwealth of

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Virginia did not opt out. The State of Maryland made the ability to obtain benefits
dependent on drug treatment. 39
Federal Student Assistance
In order to receive federal grant, loan or work assistance a person may not have been
convicted of a drug offense while that person was receiving federal student aid. 20
U.S.C. 1091(r). This includes Federal Pell Grants, Academic Competitiveness Grants,
Federal Stafford Loans, Federal PLUS Loans, Federal Work Study, and Perkins Loans.
A student can regain eligibility by completing a drug rehabilitation program. 40 States
have no authority to opt out of this requirement.
A person may not claim the tax benefits of the Hope Scholarship Credit for an academic
period if he or she “has been convicted of a Federal or State felony offense consisting of
the possession or distribution of a controlled substance before the end of the taxable year
with or within” which the academic period ends. 20 U.S.C. 25A(b)(2)(D).
Public Housing
A conviction of certain types of offenses can have significant consequences not only for
the person convicted of the crime, but also for members of that person’s family, or the
“household” for public housing purposes. Federal regulations outline both permissive
and mandatory exclusions from public housing. 24 C.F.R. 982.553.
A person who is subject to a lifetime sex offender registration requirement is subject to a
mandatory exclusion. 42 U.S.C. 13663. Prior to any adverse action, the public housing
agency, must provide the tenant or applicant with a copy of the registration information
and an opportunity to dispute the accuracy and relevance of that information. A person
who has been convicted of manufacture or production of methamphetamine on the
premises of federally assisted housing is subject to a mandatory exclusion. 42 U.S.C.
1437n.
Permissive exclusions by public housing agencies are allowed in other cases involving
drug-related criminal activity and violent criminal activity. With the use of the word
“activity” a person can be denied admittance for illegal activity whether or not a
conviction resulted. If a public housing agency proposes to deny admission for criminal
activity as shown by a criminal record, that agency must provide the subject of the record
and the applicant with a copy of the criminal record and give the family an opportunity to
dispute the accuracy and relevance of that record, in the informal review process in
accordance with 24 C.F.R. 982.554. If a public housing agency proposes to terminate
39

See Life Sentences: Denying Welfare Benefits To Women Convicted of Drug Offenses, Patricia Allard,
The Sentencing Project (February 2002). The most recent update to the state-by-state information was
done in April 2006. See
http://www.sentencingproject.org/Admin/Documents/publications/women_smy_lifesentences.pdf.
40
See www.fafsa.ed.gov/faq003.htm and
http://www.odos.uiuc.edu/sls/brochureAds/downloads/DrugsFinancialAid.pdf.

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assistance for criminal activity as shown by a criminal record, the agency must notify the
household of the proposed action to be based on the information and must provide the
subject of the record and the tenant with a copy of the criminal record. The agency must
also give the family an opportunity to dispute the accuracy and relevance of that record in
accordance with 24 C.F.R. 982.555.
It has been shown that although the federal regulations require few mandatory
prohibitions, local housing authority policies are much more restrictive. In a report on
roadblocks to re-entry in federal housing laws, the Legal Action Center noted:
Many of the policies that housing authorities or private landlords use to exclude
people with conviction records are overly restrictive, effectively denying housing to
people who pose no threat to the public, tenants or property. Oftentimes the
policies are based on a misunderstanding of federal law, or on the landlord placing a
premium on ease of administration, believing that it’s easier to “just say no” to all
people with conviction records than to perform individualized analyses of their
applications. These policies should be changed. With greater education and
targeted advocacy, these policies can be changed. 41
Veteran’s Benefits
A person who has been found guilty of mutiny, treason, sabotage, or rendering assistance
to an enemy of the United States, as well as other enumerated federal crimes, forfeits all
veteran’s benefits, including pension, disability, hospitalization, loan guarantees, and
burial in a national cemetery. 38 U.S.C. 6104 and 38 U.S.C. 6105. This includes
National Service Life Insurance (38 U.S.C. 1911) and Servicemembers’ Group Life
Insurance and Veterans’ Group Life Insurance (38 U.S.C. 1973). These benefits may be
restored by a presidential pardon. 38 C.F.R. 3.903(c), 3.904(c).
Certain veteran’s benefits are also forfeited if false claims for them are submitted. 38
U.S.C. § 6103.
Despite qualifying service, a person with a state or federal felony conviction is ineligible
to be a resident in the Armed Forces Retirement Home. There is no exception, time
limitation, or other waiver. 24 U.S.C. 412. 42
Government Employee Benefits
A government employee who has been convicted of violating certain national security
laws will lose annuity or retired pay on the basis of that employee’s government service
that is creditable to that annuity or retired pay. 5 U.S.C. 8312.
41

See www.lac.org/toolkits/housing/housing.htm. See also
http://lac.org/doc_library/lac/publications/How_to_Get_Section_8_or_Public_Housing.pdf and No Second
Chance, People With Criminal Records Denied Access to Public Housing, Human Rights Watch,
November 17, 2004, http://www.hrw.org/en/reports/2004/11/17/no-second-chance.
42
See http://www.afrh.gov/afrh/newres/elig/elig.htm.

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A government employee who has been convicted of a crime related to fraud in the
application for or receipt of any benefits for a work injury, shall forfeit (as of the date of
such conviction) any entitlement to any benefit that employee would otherwise be
entitled for any injury occurring on or before the date of such conviction. 5 U.S.C. 8148.
Obtaining a Passport
A person convicted of a felony drug offense (criminal offense punishable by death or
imprisonment for more than one year) and some misdemeanor drug offenses (not
including first offenses and offenses involving only possession) will have his or her
passport revoked if the person used a passport or otherwise crossed an international
border in committing the offense. The ineligibility period continues while the person is
incarcerated or is on parole or other supervised release. 22 U.S.C. 2714. The
disqualification may also be applied on a case-by-case basis to misdemeanor drug
offenses. There exists an exception for emergency circumstances or humanitarian
reasons.
Drivers’ Licensing
Since 1992, federal law has required states, on penalty of loss of 10% of highway funds,
to revoke or suspend for at least six months after conviction the drivers’ license of a
person who has been convicted of any drug offense, broadly defined to include any
possession of a controlled substance, or of operating a motor vehicle under the influence
of a controlled substance. 23 U.S.C. 159. States were given the opportunity to opt out of
or otherwise modify this requirement. Some states opted out entirely, some states limited
the suspension or revocation to driving-related offenses, and some states fully adopted
the federal bar or even, in some circumstances, extended it. 43

IX. Registration and Notification Requirements
The Jacob Wetterling Crimes Against Children and Sexually Violent Offender
Registration Act (the Wetterling Act), enacted in 1994, establishes federal guidelines for
state sex offender registration programs. 42 U.S.C. 14071. In 1996, Congress passed the
Pam Lychner Sexual Offender Tracking and Identification Act, which amended the
Wetterling Act to provide for release of registration information in accordance with state
laws. 42 U.S.C. 14072. “Federal authorities must notify state law enforcement and
registration authorities when a federal prisoner who is a sex offender is released to their
areas or when a federal sex offender is sentenced to probation.” 18 U.S.C. 4142(c). 44
43

In 2004, the Legal Action Center reported that 27 states automatically suspend or revoke licenses for
some or all drug offenses, while the other half of the states either suspend or revoke licenses only for
driving-related offenses or have opted out of the federal law entirely. Thirty-two states make restrictive
licenses available so individuals whose licenses would otherwise be suspended can go to
work, attend drug treatment, or obtain an education. See http://www.lac.org/roadblocks-toreentry/main.php?view=law&subaction=3.
44
Federal Statutes Imposing Collateral Consequences Upon Conviction, pp. 12,13
http://www.usdoj.gov/pardon/collateral_consequences.pdf.

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In July of 2006, President Bush signed the Adam Walsh Act. 45 This Act enhanced
interstate coordination through the National Sex Offender Registry and allowed for
greater access of information to law enforcement agencies across the United States. See
42 U.S.C. 16919. It also includes specific guidelines for information that must be
included on internet-based sex offender registries. 42 U.S.C. 16914 and 42 U.S.C.
16918.
Those required to register are separated into three tiers with different requirements for
each tier, including lifetime registration requirements for those with third tier convictions.
42 U.S.C. 16911 and 42 U.S.C. 16915. Persons with specified convictions must maintain
current registrations where they reside, work, and/or are in school. 42 U.S.C. 16913 and
42 U.S.C. 16916. There are also requirements about disclosure of information regarding
internet identifiers and the sharing of this information with social networking websites.
42 U.S.C. 16915a and 42 U.S.C. 16915b.

X. Federal Firearms Privileges
Firearms and Ammunition
A person convicted of a “crime of punishable by imprisonment for a term exceeding one
year” may not ship or transport a firearm (including both long guns and hand guns) or
ammunition in interstate or foreign commerce, possess a firearm or ammunition in or
affecting commerce, or receive any firearm or ammunition that has been shipped or
transported in interstate or foreign commerce. 18 U.S.C. 921 (a)(3) and 922(g)(1).
Moreover, a person who has been convicted of a “misdemeanor crime of domestic
violence” is also prohibited from possessing firearms or ammunition. 18 U.S.C.
922(g)(9).
The prohibition is inapplicable to certain federal and state offenses related to business
practices (“antitrust violations, unfair trade practices, restraints of trade, or other similar
offenses relating to the regulation of business practices”). 18 U.S.C. 921(a)(20)(A). It
also does not apply to certain state offenses classified as misdemeanors (“any State
offense classified by the laws of the State as a misdemeanor and punishable by a term of
imprisonment of two years or less”). 18 U.S.C. 921(a)(20)(B). Finally, the prohibition
does not apply to a person who has had his or her conviction “expunged, or set aside” or
for a person who “has been pardoned or had has civil rights restored . . . unless such
pardon, expungement, or restoration of civil rights expressly provides that the person may
not ship, transport, possess, or receive firearms.” 18 U.S.C. 921(a)(20). The law of the
court with jurisdiction over the crime is determinative of what constitutes a conviction of
that crime, with the result that the federal firearms prohibition varies widely in
application from state to state. 46
45

See http://www.whitehouse.gov/news/releases/2006/07/20060727-7.html.
This area of the law is highly complex, in particular the definition of what it means to have civil rights
restored following a conviction, which varies in practical effect from state to state. The loss of civil rights
46

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Body Armor
It is a criminal offense for a person who has been convicted of a crime of violence under
state or federal law to purchase, own, or possess body armor. There exists an affirmative
defense if the defendant obtained prior written certification from his or her employer that
the defendant’s purchase, use, or possession of body armor was necessary for the safe
performance of lawful business activity; and the use and possession by the defendant
were limited to the course of such performance. 18 U.S.C. 931.
Explosives
A person cannot knowingly distribute explosive materials to any individual who has been
convicted in any court of a crime punishable by imprisonment for a term exceeding one
year; is under indictment for a crime punishable by imprisonment for a term exceeding
one year; or is a fugitive from justice. 18 U.S.C. 842(d). Moreover, any person who is
under indictment for, or who has been convicted in any court of, a crime punishable by
imprisonment for a term exceeding one year is prohibited from shipping or transporting
any explosive in or affecting interstate or foreign commerce or receiving or possessing
any explosive that has been shipped or transported in or affecting interstate or foreign
commerce. 18 U.S.C. 842(i).

XI. Immigration Consequences
A person who is lawfully admitted to but not a citizen of the United States will be subject
to removal proceedings if convicted of an aggravated felony, a crime of domestic
violence, a firearms offense, and a drug offense. Crimes of moral turpitude (generally
crimes of fraud or evil intent) may also be the basis for removal, depending on how
recent and how frequent, and on how long the person has been in the U.S. 8 U.S.C.
1227(a)(2). The list of aggravated felonies is long, but includes murder, rape, illicit
trafficking in any controlled substance as well as in firearms or destructive devices, theft,
burglary, money laundering, a fraud offense if the amount of the funds exceeded $10,000,
generally refers to the basic rights of citizenship (the right to vote, serve on a jury, and hold public office).
Restoration by operation of law, as opposed to some affirmative act, is sufficient to satisfy this standard.
Caron v. United States, 524 U.S. 308, 313 (1998). Convictions that do not result in the loss of any civil
rights under state law, such as some misdemeanor convictions, do not satisfy the “restoration” standard.
United States v. Logan, 522 U.S. ___( 2007). While some courts have held that those rights must only be
“substantially restored” under state law in order to meet the statutory exclusion, see, e.g., United States v.
Metzger, 3 F.3d 756, 758 (4th Cir. 1993); United States v. Gomez, 911 F.2d 219, 220-21 (9th Cir. 1990), the
federal prohibition remains in effect if firearms privileges remain restricted under state law. Caron v.
United States, supra. Persons with federal convictions remain subject to the federal firearms disability until
their civil rights are restored through a federal, not a state, procedure. See Beecham v. United States, 511
U.S. 368 (1994). Because the statutory process for administrative restoration has not been funded since
1991, Bean v. United States, 537 U.S. 71 (2002), only a presidential pardon restores firearms rights for federal
offenders. For a catalogue of state firearms laws and relief provisions that interact with federal law see
Brief for amici curiae National Association of Criminal Defense Lawyers and Families Against Mandatory
Minimums in Logan v. United States, U.S. Sup. Ct. No. 06-6911, Appendix detailing state law provisions
for loss and restoration of civil rights and firearms privileges, electronic version available at
http://www.fd.org/odstb_ConstructFIREARM.htm.

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and crimes of violence. 8 U.S.C. 1101(a)(43)(A). Any charge that is a crime of violence,
theft, burglary, or commercial bribery, counterfeiting, forgery, or trafficking in vehicles
with altered vehicle identification numbers is an aggravated felony if a sentence of one
year or more is imposed, regardless of the amount of time actually served, and even if the
prison portion of the sentence is suspended or if the sentence is not actually imposed
(deferred adjudication).
A single crime of moral turpitude is deportable if committed within five years of
admission to the United States and carries a potential sentence of one year or more,
regardless of whether a prison sentence was actually imposed. 8 U.S.C. 1227(a)(2)(A).
Multiple crimes of moral turpitude are deportable at any time if they do not arise “out of
a single scheme.”
Certain non-citizens who are not lawfully admitted, or those who are lawfully admitted
but travel outside the U.S., are ineligible for admission to the United States, including
those convicted of a drug offense or crime of moral turpitude, as well as those who were
convicted of multiple offenses, regardless of whether they involved moral turpitude or
arose out of a single scheme, for which the aggregate sentence of imprisonment totals
more than five years. 8 U.S.C. 1182(a). Therefore, if these people must leave the
country for any reason and then try to return, they may face significant difficulties
depending on how recent and how many crimes committed
In immigration law, a conviction is defined as a “formal judgment of guilt of the alien
entered by a court or, if adjudication of guilt has been withheld, where a judge or jury has
found the alien guilty or the alien has entered a plea of guilty or nolo contendere or has
admitted sufficient facts to warrant a finding of guilt, and the judge has ordered some
form of punishment, penalty, or restraint on the alien’s liberty to be imposed. Any
reference to a term of imprisonment or a sentence with respect to an offense is deemed to
include the period of incarceration or confinement ordered by a court of law regardless of
any suspension of the imposition or execution of that imprisonment or sentence in whole
or in part.”
A lawful permanent resident who is otherwise eligible may seek cancellation of removal
and adjustment of status unless that person has been convicted of an aggravated felony. 8
U.S.C. 1229b(a). 47 Although not eligible for cancellation of removal, the person who
has been convicted of an aggravated felony may still be eligible for withholding of
removal if he or she can meet the persecution risk standards so long as the aggregate term
of imprisonment for a conviction of aggravated felony (or felonies) is not at least five
47

This area of the law is highly complex. There are certain things that can be done in negotiated plea
agreements in criminal proceedings to avoid mandatory deportation, for example a sentence to 364 days
instead of a year to avoid aggravated felony ineligibility for cancellation of removal. Otherwise the person
may seek to have the conviction vacated or seek an unconditional pardon. For practitioners and advocacy
groups who are committed to justice in this area of the law see Immigrant Legal Resource Center,
http://www.ilrc.org/criminal.php, a member of the Defending Immigrants Partnership along with the
National Immigration Project of the National Lawyers Guild, the National Legal Aid and Defender
Association, and the New York State Defender Association.

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years. 8 U.S.C. 1231(b). A nonpermanent resident may seek cancellation of removal and
adjustment of status unless than person has been convicted of any of the crimes
enumerated in 8 U.S.C. 1182(a)(2) and 8 U.S.C. 1227(a)(2). 8 U.S.C. 1229b(b).
A full and unconditional presidential pardon precludes the exercise of authority to
remove a convicted alien and removes barriers to naturalization based on conviction.
Effects of a Presidential Pardon, 19 U.S. Op. Off. Legal Counsel 160, 1995 WL 861618
(O.L.C.) State pardons may have the effect of waiving deportation based on conviction
for certain crimes, and may also remove barriers to naturalization. 8 U.S.C.
1227(a)(2)(A)(vi). A state pardon does not waive deportation for drug and firearms
offenses, sex offenses, and certain other serious offenses.

XII. Federal Relief and Restoration Provisions
For people convicted of federal offenses, a presidential pardon restores all rights lost
under state or federal law, including the rights to vote, to serve on a jury, and to hold
public office, and generally relieves other disabilities that attach solely by reason of the
commission or conviction of the pardoned offense. See Ex parte Garland, 71 U.S. 333
(1866); “Effects of a Presidential Pardon,” 19 U.S. Op. Off. Legal Counsel 160, 1995
WL 861618 (O.L.C.) See also In Re Elliott Abrams, 689 A. 2d 6 (D.C. 1997). Because
the loss of civil rights generally occurs as a matter of state law and thus those rights may
be restored by state action as well as by a presidential pardon. State offenses are
ineligible for a presidential pardon
For people convicted of state offenses, federal law in some cases incorporates by
reference state law relief mechanisms, 48 or gives states the option of opting out of federal
regulatory requirements. 49 In other cases, people convicted of state offenses have no way
of avoiding or mitigating penalties under federal law. People convicted under federal law
generally cannot take advantage of state law relief mechanisms, and thus may have no
remedy short of a presidential pardon. 50

48

See, e.g. 18 U.S.C. 921(a)(20)(firearms); 28 U.S.C. 1865(b)(5)(federal jury service); 8 U.S.C.
1227(a)(2)(A)(vi)(immigration). .
49
See, e.g., federal restrictions on state welfare benefits and drivers licenses in 21 U.S.C. 862a(a) and 23
U.S.C. 159.
50
An example is the prohibition against possessing firearms in 18 U.S.C. §§ 921(a)(3) and 922 (g)(1).
State offenders may obtain relief through state law relief mechanisms such as pardon, expungement, setaside, or restoration of civil rights. See 18 U.S. § 921(a)(20). Federal offenders may obtain relief only
through a federal restoration mechanism. See Beecham v. United States, 511 U.S. 368 (1994). Because the
statutory process for administrative restoration has not been funded since 1991, Bean v. United States, 537
U.S. 71 (2002), only a presidential pardon restores firearms rights for federal offenders. For additional
information about relief provisions under state and federal law, readers are referred to Margaret Colgate
Love, Relief from the Collateral Consequences of a Criminal Conviction, A State by State Resource Guide
(Hein 2006), updates at http://www.sentencingproject.org/PublicationDetails.aspx?PublicationID=486. See
also Brief for amici curiae National Association of Criminal Defense Lawyers and Families Against

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Certain federal statutes specifically provide that a presidential pardon will remove a
particular disqualification. See, e.g., 8 U.S.C. § 1227(a)(2)(A)(v)( removal of an alien
from the United States);. 42 U.S.C. § 402(u)(3)(court-imposed penalties relating to the
receipt or calculation of old-age or disability insurance benefits); 38 U.S.C. § 6105(a); 38
C.F.R. §§ 3.903(c), 3.904(c)(veterans’ benefits).
There is no general federal statutory procedure whereby civil rights may be restored after
conviction or judicial records of an adult federal criminal conviction expunged. See, e.g.,
United States v. Crowell, 374 F.3d 790, 792 (9th Cir. 2004). 51 However, some courts
have held that federal courts have inherent ancillary authority to expunge criminal
records where an arrest or conviction is found to be invalid or a clerical error is made.
United States v. Sumner, 226 F.3d 1005, 1009 (9th Cir.2000).

Mandatory Minimums in Logan v. United States, U.S. Sup. Ct. No. 06-6911, Appendix detailing state law
provisions for loss and restoration of civil rights and firearms privileges, electronic version available at
http://www.fd.org/odstb_ConstructFIREARM.htm.
51

Under 18 U.S.C. § 3607, a person found guilty of a misdemeanor offense of simple possession of
marijuana under 21 U.S.C. § 844 who has no prior federal or state drug conviction may agree to complete
up to a year of probation before a judgment of conviction is entered. If the defendant successfully
completes the probationary period, the case is dismissed without the entry of a judgment of conviction and
only a non-public record of the disposition is maintained. The defendant in such a case is not considered to
have been convicted for any purpose. If the defendant was less than 21 years old at the time the offense was
committed, the records of any arrest or initiation of criminal proceedings in the case may be expunged as
well. This procedure is available to a defendant only once. The effect of expungement under § 3607 is
explained as follows:
“The expungement order shall direct that there be expunged from all official records,
except the nonpublic records referred to in subsection (b), all references to his arrest for
the offense, the institution of criminal proceedings against him, and the results thereof.
The effect of the order shall be to restore such person, in the contemplation of the law,
to the status he occupied before such arrest or institution of criminal proceedings. A
person concerning whom such an order has been entered shall not be held thereafter
under any provision of law to be guilty of perjury, false swearing, or making a false
statement by reason of his failure to recite or acknowledge such arrests or institution of
criminal proceedings, or the results thereof, in response to an inquiry made of him for
any purpose.”
18 U.S.C. § 3607(c).

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Appendix 1
Federal Consequences Affecting a Person with a Felony Drug Conviction 52
Below is a list of the consequences that affect a person who has been convicted of a
felony involving controlled substances. Many of these consequences would affect a
person with any type of conviction; however, there are several, including the felony drug
ban for welfare, which affect only those with a drug conviction (those specific to a drug
conviction are in bold). This purpose of this list is to show the vast number of limitations
arising from federal law that a person faces due to a criminal conviction, particularly one
involving drugs.
-

The person’s right to vote may be lost depending on individual state laws.

-

The person is unable to serve on a federal grand or petit jury unless his or her civil
rights are restored.

-

The person’s passport will be revoked while he or she is only parole of supervised
release if he used his passport or otherwise crossed an international border in the
commission of the offense, unless an exception is granted for humanitarian
reasons.

-

If a member, the person may be removed as a board member of the United States
Institute of Peace.

-

The person may not be appointed to or continue service on the National Indian
Gaming Commission.

-

The person may not participate in any activity sponsored or supported by the
Civilian Marksmanship Program and may not purchase any firearms sold by the
Civilian Marksmanship Program.

-

The person may not enlist in any branch of the military unless the Secretary of
Defense authorizes an exception.

-

The person may not serve as a court appointed special advocate if it is determined
that the act committed would pose a risk to children or to the court-appointed
special advocate program’s credibility.

-

The person may not serve as a mentor for children of prisoners for five years
following the commission of the offense.

-

The person may not work as a child care worker for the Department of Defense.

52

See also Drug Offenders: Various Factors May Limit the Impacts of Federal Laws That Provide for
Denial of Selected Benefits, United States Government Accountability Office, September 2005
http://www.gao.gov/new.items/d05238.pdf.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

-

The person may not work as a security screener or otherwise have unescorted
access to secure areas of an airport if the conviction was in the 10 years prior to
the date of investigation and would bar employment.

-

If the person holds an airman certificate, it will be revoked if the offense was
related to an aircraft or service as an airman, or the person knowingly engaged in
such an activity and an appeal is unsuccessful. Even in the absence of the abovereferenced finding, the conviction may be grounds for a denial of an application
for any certificate, rating, or authorization for one year after the date of the
conviction or may be grounds for suspension or revocation of any certificate,
rating, or authorization.

-

The person may not work in a capacity requiring a Transportation Worker
Identification Credential allowing unescorted access to secure areas of maritime
facilities and vessels including as a merchant mariner, port truck driver,
longshoreman, administrator, contractor, and rail worker if his or her conviction
was within the seven years prior to his application for the TWIC or his release
from incarceration was within five years prior to his application. He or she may
apply for a waiver.

-

The person may be denied a merchant mariner’s document if the conviction was
in the past ten years.

-

The person is barred for life from holding a commercial motor vehicle operator
license if a commercial motor vehicle was used in the commission of the offense.

-

The person may not receive a hazardous material endorsement to a commercial
motor vehicle operator license if his or her conviction was within the seven years
of his application, or if his release from incarceration was within five years of his
application. He or she may apply for a waiver.

-

The person may not work for a private prisoner transport company.

-

The person may not serve in certain leadership roles for a labor organization
including leadership, consulting, advising, or any role that requires
decisionmaking or has the potential for a share in profits for 13 years after the
conviction or end of imprisonment unless the sentencing judge shortens the period
or the person’s civil rights have been fully restored.

-

The person may not to serve as an administrator, fiduciary, officer, trustee,
custodian, counsel, agent, employee, or representative in any capacity of any
employee benefit plan or as a consultant or adviser to an employee benefit plan
for 13 years after the conviction or end of imprisonment unless the sentencing
judge shortens the period or the person’s civil rights have been fully restored.

-

The person may not work as a federal law enforcement officer.

-

The person may not possess or sell firearms or explosives unless the conviction
has been expunged, set aside or pardoned, or civil rights restored.

-

The person may be disqualified from registering as a commodities dealer or work
with a commodities dealer. Decision may be appealed.
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

-

The person may not work for a local educational agency if it is determined that
the crime bears upon his or her fitness to be responsible for the safety or wellbeing of children; to serve in the particular capacity in which the employee or
prospective employee is or will be employed; or to otherwise be employed by the
local educational agency.

-

The person may not work for a foreign exchange student sponsor program
sponsored by the Department of State if he or she has direct personal contact with
exchange students.

-

The person may be disqualified from providing child care services for an agency
of the Federal Government or in a facility operated by the Federal Government
(or operated under contract with the Federal Government).

-

The person may not work as a care provider for children, the elderly, or
individuals with disabilities if it is determined that the crime bears upon his or her
fitness to have responsibility for the safety and well-being of children, the elderly,
or individuals with disabilities.

-

If a health care provider, the person may not participate in federal health care
programs for five years unless it is determined that the exclusion would impose a
hardship to his or her patients. If it is a second offense, the bar is for ten years.
Any additional offense results in a permanent bar. Right to a hearing and to
request reinstatement.

-

The person may not work for a hospice if he or she would have direct patient
contact or access to patient records if the conviction was within the past three
years.

-

The person may be disqualified from receiving a broadcast license.

-

The person may not recruit, solicit, hire, employ, furnish, or transport migrant or
seasonal agricultural workers or be employed by such a person if the conviction
was within the past five years. This decision may be appealed to an
administrative law judge.

-

The person may not obtain license or permit to import, manufacture or deal in
explosive materials or work for such a person if denied following appeal.

-

The person may not own, control or work in an FDIC insured depository
institution or bank for ten years following conviction unless prior approval is
given.

-

The person may not work for a customs broker.

-

The person may be disqualified, after hearing, from registering as a securities
dealer or broker or work for a securities dealer or broker.

-

The person may be disqualified, after hearing, from registering as an investment
adviser or working for an investment adviser.

-

The person may not apply for registration as a manufacturer, distributor, dispenser
of, or to conduct research with controlled substances.
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

-

The person may not hold a mortgage loan originator license for seven years.

-

The person may be disqualified by the sentencing court from federal benefits,
including the issuance of any grant, contract, loan, professional license, or
commercial license provided by an agency of the United States or by funds
appropriated by the United States. If it is the first conviction the ineligibility
period may be up to five years. If it is the second conviction the ineligibility
period may be up to 10 years. If it is a third or subsequent conviction the
ineligibility period may be permanent. If the person declares him or herself an
addict and submits to long-term treatment for addiction or is otherwise deemed to
be rehabilitated, the ineligibility period may be waived. The period of
ineligibility may be suspended for the same reasons or also if the person has tried
to get treatment, however it proves to be inaccessible or unavailable.

-

The person may not be a foster or adoptive parent for five years following the
conviction.

-

The person may not be a part of a potential host family for a foreign exchange
student or au pair sponsored by the Department of State.

-

The person is ineligible for disability benefits from the Social Security
Administration for any injury, or exacerbation of an injury, which occurred during
the commission of the crime.

-

The person may not serve as a representative payee for a beneficiary entitled to
benefits from the Social Security Administration unless an exception is made after
a determination is made that his or her certification as a representative payee
would be appropriate notwithstanding the conviction.

-

The person may be ineligible for Temporary Assistance to Needy Families and
food stamps depending on the state in which he or she lives.

-

The person may have his or her drivers’ license suspended or revoked depending
on the state in which he or she lives.

-

The person may be ineligible for federal grant, loan or work assistance as a
student if the conviction was for an offense that occurred while that person was
receiving federal student aid. This includes Federal Pell Grants, Academic
Competitiveness Grants, Federal Stafford Loans, Federal PLUS Loans, Federal
Work Study, and Perkins Loans. He or she would be able to regain eligibility by
completing a drug rehabilitation program.

-

The person is ineligible for the Hope Scholarship Credit if the conviction was
before the end of the taxable year with or within which the academic period ends.

-

The person and his or her family may be denied admission to or evicted from
public housing, after opportunity to dispute the accuracy and relevancy of the
conviction.

-

The person is ineligible to be a resident in the Armed Forces Retirement Home
without exception, time limitation, or other waiver.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

-

If not a citizen of the United States, the person will be subject to removal
proceedings (deportation).

-

If not a citizen of the United States, the person is ineligible for naturalization.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Appendix 2
Table Separating Collateral Sanctions and Discretionary Disqualifications.
Collateral Sanctions
Waiver, appeal or other
provision for restoration of
rights?
Federal Jury Service
Yes, through restoration of
civil rights
Federal Government Office Prohibition (permanent and None specified
five year bars for certain convictions)
National Indian Gaming Commission
None specified
Civilian Marksmanship Program
None specified
Enlistment in the Military
Yes, waiver available
Court Appointed Special Advocate Program
None specified
Mentoring Children of Prisoners
None specified
Programs Funded by the Corporation for National and
Yes, for those convicted of
Community Service
possession of controlled
substances who have gone
through treatment
Federal Law Enforcement
None specified
Child Care for Federal Workers (DoD)
None specified
Airport, Air Travel, and Air Commerce
No waiver, may dispute
information and correct errors
Transportation Worker Identification Credential – Port
Yes, waiver available
Security
Commercial Motor Vehicle Operator License
For certain offenses,
reinstatement is available after
10 years
Hazardous Materials Endorsement
Yes, waiver
Locomotive Operator License
Yes
Atomic Energy (Security Personnel)
Yes, waiver
Arms Export Control
Exception available on a caseby-case basis
Prisoner Transportation
None specified
Employees of State Departments of Motor Vehicles
Waivers for arrest only
Leadership in Labor Organizations, Consultant or
Yes
Adviser to an Employee Benefit Program
Banking Institutions
Court relief only for first 10
years; after 10 years, FDIC
may consent, upon request by
institution or individual
Business of Insurance
Yes, may obtain consent from
relevant insurance regulatory
official
Mortgage Loan Originator License
Relief after seven years for
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

some offenses
Care for Native American Children
None specified
Community Supported Living Arrangement Services
None specified
Health Care Providers Participating in Federal Health
Yes, if bar poses a hardship to
Care Programs Such as Medicare and Medicaid
potential patients; there is an
(program related crimes and crimes related to patient
opportunity for a hearing; the
abuse, health care fraud, or a felony involving controlled person may also file an
substances)
application for reinstatement
Defense Contractors
Yes, a waiver may be
requested
Explosive Materials License
Yes, appeal rights are
available
Food and Drug Administration (mandatory)
Yes, may be terminated if
person aids investigations or
prosecution
Loss of Federal Grants, Contracts and Licenses Due to a Yes, may be shortened if
Conviction of Distribution of Controlled Substances
undergoes substance abuse
(third or subsequent conviction)
treatment
Adoption and Safe Families Act
None specified
Social Security Benefits (Felony Bar)
None specified
Social Security Benefits (Representative Payee)
Yes, the Commissioner may
make an exception
Temporary Assistance to Needy Families and Food
Although the federal bar is
Stamps
mandatory, many states have
opted out or allow for waiver
of the bar with drug treatment
Federal Student Assistance
Yes, eligibility can be
regained through completion
of a drug treatment program
Drivers’ Licensing
Although the federal bar is
mandatory, many states have
opted out or modified the
restriction or allow for
restrictive licenses for work,
drug treatment, and education
Public Housing (certain mandatory bars)
No waiver or exception for
sex offenders or
methamphetamine producers
Veteran’s Benefits
Restoration only through a
presidential pardon
Government Employee Benefits
None specified
Obtaining a Passport
Yes, an exception exists for
emergency circumstances or
for humanitarian reasons
Sex Offender Registration
None specified
Federal Firearms Privileges
Yes, state offenders regain
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Immigration Consequences

Discretionary Disqualification

Federal Government Office Prohibition – for a
conviction of bribery of a public official or witness
United States Institute of Peace
Sponsor Programs for Foreign Exchange Programs

Child Care for Federal Workers
Merchant Mariners Documents

Farm Labor Contractors
United States Grain Standards Act
Atomic Energy (other than Security Personnel)
Registration of Brokers and Dealers with the SEC
Registration of Investment Advisers

Registration of Commodity Dealers and Associated
Persons
Broadcast Licensing

Customs Broker License
Registration of Manufacturers, Distributors, and
Dispensers of Controlled Substances
Elementary and Secondary School Employees

rights if conviction expunged,
pardoned, set aside, or if civil
rights are restored; federal
offenders must be pardoned.
(Federal administrative relief
provisions have not been
funded since 1991)
Yes, a full and unconditional
state pardon may provide
relief from removal for some
offenses; a presidential pardon
provides relief for all offenses

Waiver, appeal, or other
provision for restoration of
rights?
None specified – left to
sentencing court
None specified
None specified – only
requirement is a background
check with no guidance
None specified
Various factors to be
considered during application,
revocation or suspension
process
Appeal rights available
Appeal rights available
Waiver available
Opportunity for hearing
Opportunity for hearing and
an exemption can be
requested
Appeal rights
Will consider mitigating
factors and there is an
opportunity for a hearing
Appeal rights
None specified
None specified – only
requirement is a background
check with no guidance
54

American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Care Providers for Vulnerable Populations (Children,
the Elderly and Individuals With Disabilities)
Hospice Care

Private Security
Court-imposed Occupational Restrictions
Health Care Providers Participating in Federal Health
Care Programs Such as Medicare and Medicaid

Federal Procurement

Food and Drug Administration (permissive)
Loss of Federal Grants, Contracts and Licenses Due to a
Conviction of Distribution of Controlled Substances
(first and second convictions)
Foreign Exchange Student and Au Pair Host Families

Public Housing (permissive prohibitions)

None specified – only
requirement is a background
check with no guidance
None specified – only
requirement is a background
check with no specific
guidance
None specified
None specified, left to
sentencing court
Mitigating circumstances may
lessen bar period, hearing is
available; reinstatement is
also available.
Yes, opportunity for hearing
as well as a request for
reconsideration. An excluded
person may also request an
exception from OPM.
Yes, opportunity for hearing
Yes, may be shortened if
undergoes treatment
None specified – only
requirement is a background
check with no guidance
Yes, opportunity for hearing

55
American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

Appendix 3
Text of Statutes and Regulations
5 U.S.C. 7313 – Riots and civil disorders
(a) An individual convicted by any Federal, State, or local court of competent jurisdiction
of—
(1) inciting a riot or civil disorder;
(2) organizing, promoting, encouraging, or participating in a riot or civil disorder;
(3) aiding or abetting any person in committing any offense specified in clause (1) or
(2); or
(4) any offense determined by the head of the employing agency to have been
committed in furtherance of, or while participating in, a riot or civil disorder;
shall, if the offense for which he is convicted is a felony, be ineligible to accept or hold
any position in the Government of the United States or in the government of the District
of Columbia for the five years immediately following the date upon which his conviction
becomes final. Any such individual holding a position in the Government of the United
States or the government of the District of Columbia on the date his conviction becomes
final shall be removed from such position.
(b) For the purposes of this section, “felony” means any offense for which imprisonment
is authorized for a term exceeding one year.
5 U.S.C. 7371 - Mandatory removal from employment of law enforcement officers
convicted of felonies
(a) In this section, the term—
(1) “conviction notice date” means the date on which an agency that employs a law
enforcement officer has notice that the officer has been convicted of a felony that is
entered by a Federal or State court, regardless of whether that conviction is appealed or
is subject to appeal; and
(2) “law enforcement officer” has the meaning given that term under section 8331(20)
or 8401(17).
(b) Any law enforcement officer who is convicted of a felony shall be removed from
employment as a law enforcement officer on the last day of the first applicable pay period
following the conviction notice date.
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

(c)(1) This section does not prohibit the removal of an individual from employment as a
law enforcement officer before a conviction notice date if the removal is properly
effected other than under this section.
(2) This section does not prohibit the employment of any individual in any position
other than that of a law enforcement officer.
(d) If the conviction is overturned on appeal, the removal shall be set aside retroactively
to the date on which the removal occurred, with back pay under section 5596 for the
period during which the removal was in effect, unless the removal was properly effected
other than under this section.
(e)(1) If removal is required under this section, the agency shall deliver written notice to
the employee as soon as practicable, and not later than 5 calendar days after the
conviction notice date. The notice shall include a description of the specific reasons for
the removal, the date of removal, and the procedures made applicable under paragraph
(2).
(2) The procedures under section 7513 (b)(2), (3), and (4), (c), (d), and (e) shall apply
to any removal under this section. The employee may use the procedures to contest or
appeal a removal, but only with respect to whether—
(A) the employee is a law enforcement officer;
(B) the employee was convicted of a felony; or
(C) the conviction was overturned on appeal.
(3) A removal required under this section shall occur on the date specified in subsection
(b) regardless of whether the notice required under paragraph (1) of this subsection and
the procedures made applicable under paragraph (2) of this subsection have been
provided or completed by that date.
5 U.S.C. 8148 – Forfeiture of benefits by convicted felons
(a) Any individual convicted of a violation of section 1920 of title 18, or any other
Federal or State criminal statute relating to fraud in the application for or receipt of any
benefit under this subchapter or subchapter III of this chapter, shall forfeit (as of the date
of such conviction) any entitlement to any benefit such individual would otherwise be
entitled to under this subchapter or subchapter III for any injury occurring on or before
the date of such conviction. Such forfeiture shall be in addition to any action the
Secretary may take under section 8106 or 8129.
(b)(1) Notwithstanding any other provision of this chapter (except as provided under
paragraph (3)), no benefits under this subchapter or subchapter III of this chapter shall be
paid or provided to any individual during any period during which such individual is
confined in a jail, prison, or other penal institution or correctional facility, pursuant to
that individual’s conviction of an offense that constituted a felony under applicable law.
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

(2) Such individual shall not be entitled to receive the benefits forfeited during the
period of incarceration under paragraph (1), after such period of incarceration ends.
(3) If an individual has one or more dependents as defined under section 8110(a), the
Secretary of Labor may, during the period of incarceration, pay to such dependents a
percentage of the benefits that would have been payable to such individual computed
according to the percentages set forth in section 8133(a)(1) through (5).
…
5 U.S.C. 8312 – Conviction of certain offenses
(a) An individual, or his survivor or beneficiary, may not be paid annuity or retired pay
on the basis of the service of the individual which is creditable toward the annuity or
retired pay, subject to the exceptions in section 8311(2) and (3) of this title, if the
individual—
(1) was convicted, before, on, or after September 1, 1954, of an offense named by
subsection (b) of this section, to the extent provided by that subsection; or
(2) was convicted, before, on, or after September 26, 1961, of an offense named by
subsection (c) of this section, to the extent provided by that subsection.
The prohibition on payment of annuity or retired pay applies—
(A) with respect to the offenses named by subsection (b) of this section, to the period
after the date of the conviction or after September 1, 1954, whichever is later; and
(B) with respect to the offenses named by subsection (c) of this section, to the period
after the date of conviction or after September 26, 1961, whichever is later.
(b) The following are the offenses to which subsection (a) of this section applies if the
individual was convicted before, on, or after September 1, 1954:
(1) An offense within the purview of—
(A) section 792 (harboring or concealing persons), 793 (gathering, transmitting, or
losing defense information), 794 (gathering or delivering defense information to aid
foreign government), or 798 (disclosure of classified information), of chapter 37
(relating to espionage and censorship) of title 18;
(B) chapter 105 (relating to sabotage) of title 18;
(C) section 2381 (treason), 2382 (misprision of treason), 2383 (rebellion or
insurrection), 2384 (seditious conspiracy), 2385 (advocating overthrow of
government), 2387 (activities affecting armed forces generally), 2388 (activities
affecting armed forces during war), 2389 (recruiting for service against United
States), or 2390 (enlistment to serve against United States), of chapter 115 (relating to
treason, sedition, and subversive activities) of title 18;
(D) section 10(b)(2), (3), or (4) of the Atomic Energy Act of 1946 (60 Stat. 766, 767),
as in effect before August 30, 1954;
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

(E) section 16(a) or (b) of the Atomic Energy Act of 1946 (60 Stat. 773), as in effect
before August 30, 1954, insofar as the offense is committed with intent to injure the
United States or with intent to secure an advantage to a foreign nation; or
(F) an earlier statute on which a statute named by subparagraph (A), (B), or (C) of
this paragraph (1) is based.
(2) An offense within the purview of—
(A) article 104 (aiding the enemy), article 106 (spies), or article 106a (espionage) of
the Uniform Code of Military Justice (chapter 47 of title 10) or an earlier article on
which article 104 or article 106, as the case may be, is based; or
(B) a current article of the Uniform Code of Military Justice (or an earlier article on
which the current article is based) not named by subparagraph (A) of this paragraph
(2) on the basis of charges and specifications describing a violation of a statute named
by paragraph (1), (3), or (4) of this subsection, if the executed sentence includes
death, dishonorable discharge, or dismissal from the service, or if the defendant dies
before execution of that sentence as finally approved.
(3) Perjury committed under the statutes of the United States or the District of
Columbia—
(A) in falsely denying the commission of an act which constitutes an offense within
the purview of—
(i) a statute named by paragraph (1) of this subsection; or
(ii) an article or statute named by paragraph (2) of this subsection insofar as the
offense is within the purview of an article or statute named by paragraph (1) or
(2)(A) of this subsection;
(B) in falsely testifying before a Federal grand jury, court of the United States, or
court-martial with respect to his service as an employee in connection with a matter
involving or relating to an interference with or endangerment of, or involving or
relating to a plan or attempt to interfere with or endanger, the national security or
defense of the United States; or
(C) in falsely testifying before a congressional committee in connection with a matter
under inquiry before the congressional committee involving or relating to an
interference with or endangerment of, or involving or relating to a plan or attempt to
interfere with or endanger, the national security or defense of the United States.
(4) Subornation of perjury committed in connection with the false denial or false
testimony of another individual as specified by paragraph (3) of this subsection.
(c) The following are the offenses to which subsection (a) of this section applies if the
individual was convicted before, on, or after September 26, 1961:
(1) An offense within the purview of—
(A) section 2272 (violation of specific sections) or 2273 (violation of sections
generally of chapter 23 of title 42) of title 42 insofar as the offense is committed with
intent to injure the United States or with intent to secure an advantage to a foreign
nation;
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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia

(B) section 2274 (communication of restricted data), 2275 (receipt of restricted data),
or 2276 (tampering with restricted data) of title 42; or
(C) section 783 (conspiracy and communication or receipt of classified information)
of title 50 or section 601 of the National Security Act of 1947 (50 U.S.C. 421)
(relating to intelligence identities).
(2) An offense within the purview of a current article of the Uniform Code of Military
Justice (chapter 47 of title 10) or an earlier article on which the current article is based,
as the case may be, on the basis of charges and specifications describing a violation of a
statute named by paragraph (1), (3), or (4) of this subsection, if the executed sentence
includes death, dishonorable discharge, or dismissal from the service, or if the
defendant dies before execution of that sentence as finally approved.
(3) Perjury committed under the statutes of the United States or the District of
Columbia in falsely denying the commission of an act which constitutes an offense
within the purview of a statute named by paragraph (1) of this subsection.
(4) Subornation of perjury committed in connection with the false denial of another
individual as specified by paragraph (3) of this subsection.
(d)(1) For purposes of subsections (b)(1) and (c)(1), an offense within the meaning of
such subsections is established if the Attorney General of the United States certifies to the
agency administering the annuity or retired pay concerned—
(A) that an individual subject to this chapter has been convicted by an impartial court
of appropriate jurisdiction within a foreign country in circumstances in which the
conduct violates the provisions of law enumerated in subsections (b)(1) and (c)(1), or
would violate such provisions had such conduct taken place within the United States,
and that such conviction is not being appealed or that final action has been taken on
such appeal;
(B) that such conviction was obtained in accordance with procedures that provided
the defendant due process rights comparable to such rights provided by the United
States Constitution, and such conviction was based upon evidence which would have
been admissible in the courts of the United States; and
(C) that such conviction occurred after the date of enactment of this subsection.
(2) Any certification made pursuant to this subsection shall be subject to review by the
United States Court of Claims based upon the application of the individual concerned,
or his or her attorney, alleging that any of the conditions set forth in subparagraphs (A),
(B), or (C) of paragraph (1), as certified by the Attorney General, have not been
satisfied in his or her particular circumstances. Should the court determine that any of
these conditions has not been satisfied in such case, the court shall order any annuity or
retirement benefit to which the person concerned is entitled to be restored and shall
order that any payments which may have been previously denied or withheld to be paid
by the department or agency concerned.

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5 U.S.C. 8331 - Definitions
…
(20) “law enforcement officer” means an employee, the duties of whose position are
primarily the investigation, apprehension, or detention of individuals suspected or
convicted of offenses against the criminal laws of the United States, including an
employee engaged in this activity who is transferred to a supervisory or administrative
position. For the purpose of this paragraph, “detention” includes the duties of—
(A) employees of the Bureau of Prisons and Federal Prison Industries, Incorporated;
(B) employees of the Public Health Service assigned to the field service of the Bureau
of Prisons or of the Federal Prison Industries, Incorporated;
(C) employees in the field service at Army or Navy disciplinary barracks or at
confinement and rehabilitation facilities operated by any of the armed forces; and
(D) employees of the Department of Corrections of the District of Columbia, its
industries and utilities;
whose duties in connection with individuals in detention suspected or convicted of
offenses against the criminal laws of the United States or of the District of Columbia or
offenses against the punitive articles of the Uniformed Code of Military Justice (chapter
47 of title 10) require frequent (as determined by the appropriate administrative
authority with the concurrence of the Office) direct contact with these individuals in
their detention, direction, supervision, inspection, training, employment, care,
transportation, or rehabilitation;
6 U.S.C. 1170 – Security background checks of covered individuals
(a) Definitions
In this section, the following definitions apply:
(1) Security background check
The term “security background check” means reviewing, for the purpose of identifying
individuals who may pose a threat to transportation security or national security, or of
terrorism—
(A) relevant criminal history databases;
(B) in the case of an alien (as defined in 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
(C) other relevant information or databases, as determined by the Secretary.
(2) Covered individual
The term “covered individual” means an employee of a railroad carrier or a contractor
or subcontractor of a railroad carrier.
(b) Guidance
(1) Any guidance, recommendations, suggested action items, or any other widely
disseminated voluntary action items issued by the Secretary to a railroad carrier or a
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contractor or subcontractor of a railroad carrier relating to performing a security
background check of a covered individual shall contain recommendations on the
appropriate scope and application of such a security background check, including the
time period covered, the types of disqualifying offenses, and a redress process for
adversely impacted covered individuals consistent with subsections (c) and (d) of this
section.
(2) Within 60 days after August 3, 2007, any guidance, recommendations, suggested
action items, or any other widely disseminated voluntary action item issued by the
Secretary prior to August 3, 2007 to a railroad carrier or a contractor or subcontractor
of a railroad carrier relating to performing a security background check of a covered
individual shall be updated in compliance with paragraph (1).
(3) If a railroad carrier or a contractor or subcontractor of a railroad carrier performs a
security background check on a covered individual to fulfill guidance issued by the
Secretary under paragraph (1) or (2), the Secretary shall not consider such guidance
fulfilled unless an adequate redress process as described in subsection (d) of this section
is provided to covered individuals.
(c) Requirements
If the Secretary issues a rule, regulation, or directive requiring a railroad carrier or
contractor or subcontractor of a railroad carrier to perform a security background check
of a covered individual, then the Secretary shall prohibit the railroad carrier or contractor
or subcontractor of a railroad carrier from making an adverse employment decision,
including removal or suspension of the covered individual, due to such rule, regulation,
or directive with respect to a covered individual unless the railroad carrier or contractor
or subcontractor of a railroad carrier determines that the covered individual—
(1) has been convicted of, has been found not guilty by reason of insanity, or is under
want, warrant, or indictment for a permanent disqualifying criminal offense listed in
part 1572 of title 49, Code of Federal Regulations;
(2) was convicted of or found not guilty by reason of insanity of an interim
disqualifying criminal offense listed in part 1572 of title 49, Code of Federal
Regulations, within 7 years of the date that the railroad carrier or contractor or
subcontractor of a railroad carrier performs the security background check; or
(3) was incarcerated for an interim disqualifying criminal offense listed in part 1572 of
title 49, Code of Federal Regulations, and released from incarceration within 5 years of
the date that the railroad carrier or contractor or subcontractor of a railroad carrier
performs the security background check.
(d) Redress process
If the Secretary issues a rule, regulation, or directive requiring a railroad carrier or
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contractor or subcontractor of a railroad carrier to perform a security background check
of a covered individual, the Secretary shall—
(1) provide an adequate redress process for a covered individual subjected to an adverse
employment decision, including removal or suspension of the employee, due to such
rule, regulation, or directive that is consistent with the appeals and waiver process
established for applicants for commercial motor vehicle hazardous materials
endorsements and transportation employees at ports, as required by section 70105(c) of
Title 46; and
(2) have the authority to order an appropriate remedy, including reinstatement of the
covered individual, should the Secretary determine that a railroad carrier or contractor
or subcontractor of a railroad carrier wrongfully made an adverse employment decision
regarding a covered individual pursuant to such rule, regulation, or directive.
(e) False statements
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 related to security background check requirements
for covered individuals when conducting a security background check. Not later than 1
year after August 3, 2007, the Secretary shall issue a regulation that prohibits a railroad
carrier or a contractor or subcontractor of a railroad carrier from knowingly
misrepresenting 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 related to security background check requirements
for covered individuals when conducting a security background check.
(f) Rights and responsibilities
Nothing in this section shall be construed to abridge a railroad carrier’s or a contractor or
subcontractor of a railroad carrier’s rights or responsibilities to make adverse
employment decisions permitted by other Federal, State, or local laws. Nothing in the
section shall be construed to abridge rights and responsibilities of covered individuals, a
railroad carrier, or a contractor or subcontractor of a railroad carrier, under any other
Federal, State, or local laws or under any collective bargaining agreement.
(g) No preemption of Federal or State law
Nothing in this section shall be construed to preempt a Federal, State, or local law that
requires criminal history background checks, immigration status checks, or other
background checks, of covered individuals.
(h) Statutory construction

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Nothing in this section shall be construed to affect the process for review established
under section 70105(c) of Title 46, including regulations issued pursuant to such section.
7 U.S.C. 12a - Registration of commodity dealers and associated persons; regulation
of registered entities
The Commission is authorized—
(1) to register futures commission merchants, associated persons of futures commission
merchants, introducing brokers, associated persons of introducing brokers, commodity
trading advisors, associated persons of commodity trading advisors, commodity pool
operators, associated persons of commodity pool operators, floor brokers, and floor
traders upon application in accordance with rules and regulations and in the form and
manner to be prescribed by the Commission, which may require the applicant, and such
persons associated with the applicant as the Commission may specify, to be
fingerprinted and to submit, or cause to be submitted, such fingerprints to the Attorney
General for identification and appropriate processing, and in connection therewith to fix
and establish from time to time reasonable fees and charges for registrations and
renewals thereof: Provided, That notwithstanding any provision of this chapter, the
Commission may grant a temporary license to any applicant for registration with the
Commission pursuant to such rules, regulations, or orders as the Commission may
adopt, except that the term of any such temporary license shall not exceed six months
from the date of its issuance;
(2) upon notice, but without a hearing and pursuant to such rules, regulations, or orders
as the Commission may adopt, to refuse to register, to register conditionally, or to
suspend or place restrictions upon the registration of, any person and with such a
hearing as may be appropriate to revoke the registration of any person—
…
(D) if such person has been convicted within ten years preceding the filing of the
application for registration or at any time thereafter of any felony that (i) involves any
transactions or advice concerning any contract of sale of a commodity for future
delivery, or any activity subject to Commission regulation under section 6c or 23 of
this title, or concerning a security, (ii) arises out of the conduct of the business of a
futures commission merchant, introducing broker, floor broker, floor trader,
commodity trading advisor, commodity pool operator, associated person of any
registrant under this chapter, securities broker, securities dealer, municipal securities
broker, municipal securities dealer, transfer agent, clearing agency, securities
information processor, investment adviser, investment company, or an affiliated
person or employee of any of the foregoing, (iii) involves embezzlement, theft,
extortion, fraud, fraudulent conversion, misappropriation of funds, securities or
property, forgery, counterfeiting, false pretenses, bribery, or gambling, or (iv)
involves the violation of section 152, 1001, 1341, 1342, 1343, 1503, 1623, 1961,

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1962, 1963, or 2314, or chapter 25, 47, 95, or 96 of Title 18, or section 7201 or 7206
of Title 26;
…
Provided, That such person may appeal from a decision to refuse registration, condition
registration, suspend, revoke or to place restrictions upon registration made pursuant to
the provisions of this paragraph in the manner provided in sections 9 and 15 of this title;
and Provided, further, That for the purposes of paragraphs (2) and (3) of this section,
“principal” shall mean, if the person is a partnership, any general partner or, if the person
is a corporation, any officer, director, or beneficial owner of at least 10 per centum of the
voting shares of the corporation, and any other person that the Commission by rule,
regulation, or order determines has the power, directly or indirectly, through agreement
or otherwise, to exercise a controlling influence over the activities of such person which
are subject to regulation by the Commission;
(3) to refuse to register or to register conditionally any person, if it is found, after
opportunity for hearing, that—
…
(D) such person pleaded guilty to or was convicted of a felony other than a felony of
the type specified in paragraph (2)(D) of this section, or was convicted of a felony of
the type specified in paragraph (2)(D) of this section more than ten years preceding
the filing of the application;
(E) such person pleaded guilty to or was convicted of any misdemeanor which (i)
involves any transaction or advice concerning any contract of sale of a commodity for
future delivery or any activity subject to Commission regulation under section 6c or
23 of this title or concerning a security, (ii) arises out of the conduct of the business of
a futures commission merchant, introducing broker, floor broker, floor trader,
commodity trading advisor, commodity pool operator, associated person of any
registrant under this chapter, securities broker, securities dealer, municipal securities
broker, municipal securities dealer, transfer agent, clearing agency, securities
information processor, investment adviser, investment company, or an affiliated
person or employee of any of the foregoing, (iii) involves embezzlement, theft,
extortion, fraud, fraudulent conversion, misappropriation of funds, securities or
property, forgery, counterfeiting, false pretenses, bribery, or gambling, (iv) involves
the violation of section 152, 1341, 1342, or 1343 or chapter 25, 47, 95, or 96 of Title
18, or section 7203, 7204, 7205, or 7207 of Title 26;
…
(H) such person has pleaded nolo contendere to criminal charges of felonious
conduct, or has been convicted in a State court, in a United States military court, or in
a foreign court of conduct which would constitute a felony under Federal law if the
offense had been committed under Federal jurisdiction;
…

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Provided, That pending final determination under this paragraph, registration shall not be
granted: Provided further, That such person may appeal from a decision to refuse
registration or to condition registration made pursuant to this paragraph in the manner
provided in sections 9 and 15 of this title;
(4) in accordance with the procedure provided for in sections 9 and 15 of this title, to
suspend, revoke, or place restrictions upon the registration of any person registered
under this chapter if cause exists under paragraph (3) of this section which would
warrant a refusal of registration of such person, and to suspend or revoke the
registration of any futures commission merchant or introducing broker who shall
knowingly accept any order for the purchase or sale of any commodity for future
delivery on or subject to the rules of any registered entity from any person if such
person has been denied trading privileges on any registered entity by order of the
Commission under sections 9 and 15 of this title and the period of denial specified in
such order shall not have expired: Provided, That such person may appeal from a
decision to suspend, revoke, or place restrictions upon registration made pursuant to
this paragraph in the manner provided in sections 9 and 15 of this title;
…
7 U.S.C. 85 – Suspension, revocation, and refusal to renew licenses; hearing;
grounds; temporary suspension
The Secretary may refuse to renew, or may suspend or revoke, any license issued under
this chapter whenever, after the licensee has been afforded an opportunity for a hearing,
the Secretary shall determine that such licensee is incompetent, or has inspected or
weighed or supervised the weighing of grain for purposes of this chapter, by any standard
or criteria other than as provided for in this chapter, or has issued, or caused the issuance
of, any false or incorrect official certificate or other official form, or has knowingly or
carelessly inspected or weighed or supervised the weighing of grain improperly under
this chapter, or has accepted any money or other consideration, directly or indirectly, for
any neglect or improper performance of duty, or has used the license or allowed it to be
used for any improper purpose, or has otherwise violated any provision of this chapter or
of the regulations prescribed or instructions issued to the licensee by the Secretary under
this chapter. The Secretary may, without first affording the licensee an opportunity for a
hearing, suspend any license temporarily pending final determination whenever the
Secretary deems such action to be in the best interests of the official inspection system
under this chapter. The Secretary may summarily revoke any license whenever the
licensee has been convicted of any offense prohibited by section 87b of this title or
convicted of any offense proscribed by Title 18, with respect to performance of functions
under this chapter.
8 U.S.C. 1101 - Definitions
(a) As used in this chapter—
…
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(13)(C) An alien lawfully admitted for permanent residence in the United States shall
not be regarded as seeking an admission into the United States for purposes of the
immigration laws unless the alien—
(i) has abandoned or relinquished that status,
(ii) has been absent from the United States for a continuous period in excess of 180
days,
(iii) has engaged in illegal activity after having departed the United States,
(iv) has departed from the United States while under legal process seeking removal
of the alien from the United States, including removal proceedings under this
chapter and extradition proceedings,
(v) has committed an offense identified in section 1182(a)(2) of this title, unless
since such offense the alien has been granted relief under section 1182(h) or
1229b(a) of this title, or
(vi) is attempting to enter at a time or place other than as designated by immigration
officers or has not been admitted to the United States after inspection and
authorization by an immigration officer.
…
(43) The term “aggravated felony” means—
(A) murder, rape, or sexual abuse of a minor;
(B) illicit trafficking in a controlled substance (as defined in section 802 of Title 21),
including a drug trafficking crime (as defined in section 924(c) of Title 18);
(C) illicit trafficking in firearms or destructive devices (as defined in section 921 of
Title 18) or in explosive materials (as defined in section 841(c) of that title);
(D) an offense described in section 1956 of Title 18 (relating to laundering of
monetary instruments) or section 1957 of that title (relating to engaging in monetary
transactions in property derived from specific unlawful activity) if the amount of the
funds exceeded $10,000;
(E) an offense described in—
(i) section 842(h) or (i) of Title 18, or section 844(d), (e), (f), (g), (h), or (i) of that
title (relating to explosive materials offenses);
(ii) section 922(g)(1), (2), (3), (4), or (5), (j), (n), (o), (p), or (r) or 924(b) or (h) of
Title 18 (relating to firearms offenses); or
(iii) section 5861 of Title 26 (relating to firearms offenses);
(F) a crime of violence (as defined in section 16 of Title 18, but not including a purely
political offense) for which the term of imprisonment is at least one year;
(G) a theft offense (including receipt of stolen property) or burglary offense for which
the term of imprisonment is at least one year;
(H) an offense described in section 875, 876, 877, or 1202 of Title 18 (relating to the
demand for or receipt of ransom);
(I) an offense described in section 2251, 2251A, or 2252 of Title 18 (relating to child
pornography);
(J) an offense described in section 1962 of Title 18 (relating to racketeer influenced
corrupt organizations), or an offense described in section 1084 (if it is a second or

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subsequent offense) or 1955 of that title (relating to gambling offenses), for which a
sentence of one year imprisonment or more may be imposed;
(K) an offense that—
(i) relates to the owning, controlling, managing, or supervising of a prostitution
business;
(ii) is described in section 2421, 2422, or 2423 of Title 18 (relating to transportation
for the purpose of prostitution) if committed for commercial advantage; or
(iii) is described in any of sections 1581-1585 or 1588-1591 of Title 18 (relating to
peonage, slavery, involuntary servitude, and trafficking in persons);
(L) an offense described in—
(i) section 793 (relating to gathering or transmitting national defense information),
798 (relating to disclosure of classified information), 2153 (relating to sabotage) or
2381 or 2382 (relating to treason) of Title 18;
(ii) section 421 of Title 50 (relating to protecting the identity of undercover
intelligence agents); or
(iii) section 421 of Title 50 (relating to protecting the identity of undercover
agents);
(M) an offense that—
(i) involves fraud or deceit in which the loss to the victim or victims exceeds
$10,000; or
(ii) is described in section 7201 of Title 26 (relating to tax evasion) in which the
revenue loss to the Government exceeds $10,000;
(N) an offense described in paragraph (1)(A) or (2) of section 1324(a) of this title
(relating to alien smuggling), except in the case of a first offense for which the alien
has affirmatively shown that the alien committed the offense for the purpose of
assisting, abetting, or aiding only the alien’s spouse, child, or parent (and no other
individual) to violate a provision of this chapter
(O) an offense described in section 1325(a) or 1326 of this title committed by an alien
who was previously deported on the basis of a conviction for an offense described in
another subparagraph of this paragraph;
(P) an offense (i) which either is falsely making, forging, counterfeiting, mutilating,
or altering a passport or instrument in violation of section 1543 of Title 18 or is
described in section 1546(a) of such title (relating to document fraud) and (ii) for
which the term of imprisonment is at least 12 months, except in the case of a first
offense for which the alien has affirmatively shown that the alien committed the
offense for the purpose of assisting, abetting, or aiding only the alien’s spouse, child,
or parent (and no other individual) to violate a provision of this chapter;
(Q) an offense relating to a failure to appear by a defendant for service of sentence if
the underlying offense is punishable by imprisonment for a term of 5 years or more;
(R) an offense relating to commercial bribery, counterfeiting, forgery, or trafficking
in vehicles the identification numbers of which have been altered for which the term
of imprisonment is at least one year;
(S) an offense relating to obstruction of justice, perjury or subornation of perjury, or
bribery of a witness, for which the term of imprisonment is at least one year;

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(T) an offense relating to a failure to appear before a court pursuant to a court order to
answer to or dispose of a charge of a felony for which a sentence of 2 years’
imprisonment or more may be imposed; and
(U) an attempt or conspiracy to commit an offense described in this paragraph.
The term applies to an offense described in this paragraph whether in violation of
Federal or State law and applies to such an offense in violation of the law of a foreign
country for which the term of imprisonment was completed within the previous 15
years. Notwithstanding any other provision of law (including any effective date), the
term applies regardless of whether the conviction was entered before, on, or after
September 30, 1996.
…
(48)(A) The term “conviction” means, with respect to an alien, a formal judgment of
guilt of the alien entered by a court or, if adjudication of guilt has been withheld,
where—
(i) a judge or jury has found the alien guilty or the alien has entered a plea of guilty
or nolo contendere or has admitted sufficient facts to warrant a finding of guilt, and
(ii) the judge has ordered some form of punishment, penalty, or restraint on the
alien’s liberty to be imposed.
(B) Any reference to a term of imprisonment or a sentence with respect to an offense
is deemed to include the period of incarceration or confinement ordered by a court of
law regardless of any suspension of the imposition or execution of that imprisonment
or sentence in whole or in part.
8 U.S.C. 1182 – Inadmissible aliens
(a) Classes of aliens ineligible for visas or admission
Except as otherwise provided in this chapter, aliens who are inadmissible under the
following paragraphs are ineligible to receive visas and ineligible to be admitted to the
United States:
…
(2) Criminal and related grounds
(A) Conviction of certain crimes
(i) In general
Except as provided in clause (ii), any alien convicted of, or who admits having
committed, or who admits committing acts which constitute the essential elements
of—
(I) a crime involving moral turpitude (other than a purely political offense) or an
attempt or conspiracy to commit such a crime, or
(II) a violation of (or a conspiracy or attempt to violate) any law or regulation of a
State, the United States, or a foreign country relating to a controlled substance (as
defined in section 802 of Title 21),
is inadmissible.
(ii) Exception
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Clause (i)(I) shall not apply to an alien who committed only one crime if—
(I) the crime was committed when the alien was under 18 years of age, and the
crime was committed (and the alien released from any confinement to a prison or
correctional institution imposed for the crime) more than 5 years before the date
of application for a visa or other documentation and the date of application for
admission to the United States, or
(II) the maximum penalty possible for the crime of which the alien was convicted
(or which the alien admits having committed or of which the acts that the alien
admits having committed constituted the essential elements) did not exceed
imprisonment for one year and, if the alien was convicted of such crime, the alien
was not sentenced to a term of imprisonment in excess of 6 months (regardless of
the extent to which the sentence was ultimately executed).
(B) Multiple criminal convictions
Any alien convicted of 2 or more offenses (other than purely political offenses),
regardless of whether the conviction was in a single trial or whether the offenses
arose from a single scheme of misconduct and regardless of whether the offenses
involved moral turpitude, for which the aggregate sentences to confinement were 5
years or more is inadmissible.
(C) Controlled substance traffickers
Any alien who the consular officer or the Attorney General knows or has reason to
believe—
(i) is or has been an illicit trafficker in any controlled substance or in any listed
chemical (as defined in section 802 of title 21), or is or has been a knowing aider,
abettor, assister, conspirator, or colluder with others in the illicit trafficking in any
such controlled or listed substance or chemical, or endeavored to do so; or
(ii) is the spouse, son, or daughter of an alien inadmissible under clause (i), has,
within the previous 5 years, obtained any financial or other benefit from the illicit
activity of that alien, and knew or reasonably should have known that the financial
or other benefit was the product of such illicit activity,
is inadmissible.
(D) Prostitution and commercialized vice
Any alien who—
(i) is coming to the United States solely, principally, or incidentally to engage in
prostitution, or has engaged in prostitution within 10 years of the date of application
for a visa, admission, or adjustment of status,
(ii) directly or indirectly procures or attempts to procure, or (within 10 years of the
date of application for a visa, admission, or adjustment of status) procured or
attempted to procure or to import, prostitutes or persons for the purpose of
prostitution, or receives or (within such 10-year period) received, in whole or in
part, the proceeds of prostitution, or
(iii) is coming to the United States to engage in any other unlawful commercialized
vice, whether or not related to prostitution,
is inadmissible.
(E) Certain aliens involved in serious criminal activity who have asserted immunity
from prosecution
Any alien—
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(i) who has committed in the United States at any time a serious criminal offense
(as defined in section 1101(h) of this title),
(ii) for whom immunity from criminal jurisdiction was exercised with respect to
that offense,
(iii) who as a consequence of the offense and exercise of immunity has departed
from the United States, and
(iv) who has not subsequently submitted fully to the jurisdiction of the court in the
United States having jurisdiction with respect to that offense,
is inadmissible.
(F) Waiver authorized
For provision authorizing waiver of certain subparagraphs of this paragraph, see
subsection (h) of this section.
…
8 U.S.C. 1227 – Deportable aliens
(a) Classes of deportable aliens
Any alien (including an alien crewman) in and admitted to the United States shall, upon
the order of the Attorney General, be removed if the alien is within one or more of the
following classes of deportable aliens:
…
(2) Criminal offenses
(A) General crimes
(i) Crimes of moral turpitude
Any alien who—
(I) is convicted of a crime involving moral turpitude committed within five years
(or 10 years in the case of an alien provided lawful permanent resident status
under section 1255(j) of this title) after the date of admission, and
(II) is convicted of a crime for which a sentence of one year or longer may be
imposed,
is deportable.
(ii) Multiple criminal convictions
Any alien who at any time after admission is convicted of two or more crimes
involving moral turpitude, not arising out of a single scheme of criminal
misconduct, regardless of whether confined therefor and regardless of whether the
convictions were in a single trial, is deportable.
(iii) Aggravated felony
Any alien who is convicted of an aggravated felony at any time after admission is
deportable.
(iv) High speed flight
Any alien who is convicted of a violation of section 758 of Title 18, (relating to
high speed flight from an immigration checkpoint) is deportable.
(v) Failure to register as a sex offender
Any alien who is convicted under section 2250 of Title 18, is deportable.
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(vi) Waiver authorized
Clauses (i), (ii), (iii), and (iv) shall not apply in the case of an alien with respect to a
criminal conviction if the alien subsequent to the criminal conviction has been
granted a full and unconditional pardon by the President of the United States or by
the Governor of any of the several States.
(B) Controlled substances
(i) Conviction
Any alien who at any time after admission has been convicted of a violation of (or a
conspiracy or attempt to violate) any law or regulation of a State, the United States,
or a foreign country relating to a controlled substance (as defined in section 802 of
Title 21), other than a single offense involving possession for one’s own use of 30
grams or less of marijuana, is deportable.
(ii) Drug abusers and addicts
Any alien who is, or at any time after admission has been, a drug abuser or addict is
deportable.
(C) Certain firearm offenses
Any alien who at any time after admission is convicted under any law of purchasing,
selling, offering for sale, exchanging, using, owning, possessing, or carrying, or of
attempting or conspiring to purchase, sell, offer for sale, exchange, use, own, possess,
or carry, any weapon, part, or accessory which is a firearm or destructive device (as
defined in section 921(a) of Title 18) in violation of any law is deportable.
(D) Miscellaneous crimes
Any alien who at any time has been convicted (the judgment on such conviction
becoming final) of, or has been so convicted of a conspiracy or attempt to violate—
(i) any offense under chapter 37 (relating to espionage), chapter 105 (relating to
sabotage), or chapter 115 (relating to treason and sedition) of Title 18, for which a
term of imprisonment of five or more years may be imposed;
(ii) any offense under section 871 or 960 of Title 18;
(iii) a violation of any provision of the Military Selective Service Act (50 U.S.C.
App. 451 et seq.) or the Trading With the Enemy Act (50 U.S.C. App. 1 et seq.); or
(iv) a violation of section 1185 or 1328 of this title,
is deportable.
(E) Crimes of domestic violence, stalking, or violation of protection order, crimes
against children and
(i) Domestic violence, stalking, and child abuse
Any alien who at any time after admission is convicted of a crime of domestic
violence, a crime of stalking, or a crime of child abuse, child neglect, or child
abandonment is deportable. For purposes of this clause, the term “crime of domestic
violence” means any crime of violence (as defined in section 16 of Title 18) against
a person committed by a current or former spouse of the person, by an individual
with whom the person shares a child in common, by an individual who is cohabiting
with or has cohabited with the person as a spouse, by an individual similarly
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situated to a spouse of the person under the domestic or family violence laws of the
jurisdiction where the offense occurs, or by any other individual against a person
who is protected from that individual’s acts under the domestic or family violence
laws of the United States or any State, Indian tribal government, or unit of local
government.
…
8 U.S.C. 1229b - Cancellation of removal; adjustment of status
(a) Cancellation of removal for certain permanent residents
The Attorney General may cancel removal in the case of an alien who is inadmissible or
deportable from the United States if the alien-(1) has been an alien lawfully admitted for permanent residence for not less than 5
years,
(2) has resided in the United States continuously for 7 years after having been admitted
in any status, and
(3) has not been convicted of any aggravated felony.
(b) Cancellation of removal and adjustment of status for certain nonpermanent residents
(1) In general
The Attorney General may cancel removal of, and adjust to the status of an alien
lawfully admitted for permanent residence, an alien who is inadmissible or deportable
from the United States if the alien-(A) has been physically present in the United States for a continuous period of not
less than 10 years immediately preceding the date of such application;
(B) has been a person of good moral character during such period;
(C) has not been convicted of an offense under section 1182(a)(2), 1227(a)(2),
or 1227(a)(3) of this title, subject to paragraph (5); and
(D) establishes that removal would result in exceptional and extremely unusual
hardship to the alien's spouse, parent, or child, who is a citizen of the United States or
an alien lawfully admitted for permanent residence.
10 U.S.C. 504 – Armed Force - Persons not qualified
(a) Insanity, desertion, felons, etc.—No person who is insane, intoxicated, or a deserter
from an armed force, or who has been convicted of a felony, may be enlisted in any
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armed force. However, the Secretary concerned may authorize exceptions, in meritorious
cases, for the enlistment of deserters and persons convicted of felonies.
10 U.S.C. 2408 – Prohibition on persons convicted of defense-contract related
felonies and related criminal penalty on defense contractors
(a) Prohibition.--(1) An individual who is convicted of fraud or any other felony arising
out of a contract with the Department of Defense shall be prohibited from each of the
following:
(A) Working in a management or supervisory capacity on any defense contract or any
first tier subcontract of a defense contract.
(B) Serving on the board of directors of any defense contractor or any subcontractor
awarded a contract directly by a defense contractor.
(C) Serving as a consultant to any defense contractor or any subcontractor awarded a
contract directly by a defense contractor.
(D) Being involved in any other way, as determined under regulations prescribed by
the Secretary of Defense, with a defense contract or first tier subcontract of a defense
contract.
(2) Except as provided in paragraph (3), the prohibition in paragraph (1) shall apply for
a period, as determined by the Secretary of Defense, of not less than five years after the
date of the conviction.
(3) The prohibition in paragraph (1) may apply with respect to an individual for a
period of less than five years if the Secretary determines that the five-year period
should be waived in the interests of national security.
(4) The prohibition in paragraph (1) does not apply with respect to the following:
(A) A contract referred to in subparagraph (A), (B), (C), or (D) of such paragraph that
is not greater than the simplified acquisition threshold (as defined in section 4(11) of
the Office of Federal Procurement Policy Act (41 U.S.C. 403(11))).
(B) A contract referred to in such subparagraph that is for the acquisition of
commercial items (as defined in section 4(12) of the Office of Federal Procurement
Policy Act (41 U.S.C. 403(12))).
(C) A subcontract referred to in such subparagraph that is under a contract described
in subparagraph (A) or (B).
…
(c) Single point of contact for information.--(1) The Attorney General shall ensure that a
single point of contact is established to enable a defense contractor or subcontractor to
promptly obtain information regarding whether a person that the contractor or
subcontractor proposes to use for an activity covered by paragraph (1) of subsection (a) is
under a prohibition under that subsection.
(2) The procedure for obtaining such information shall be specified in regulations
prescribed by the Secretary of Defense under subsection (a).
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12 U.S.C. 5104 – State license and registration application and issuance
(a) Background checks
In connection with an application to any State for licensing and registration as a Statelicensed loan originator, the applicant shall, at a minimum, furnish to the Nationwide
Mortgage Licensing System and Registry information concerning the applicant's identity,
including-(1) fingerprints for submission to the Federal Bureau of Investigation, and any
governmental agency or entity authorized to receive such information for a State and
national criminal history background check; and
(2) personal history and experience, including authorization for the System to obtain-(A) an independent credit report obtained from a consumer reporting agency
described in section 1681a(p) of Title 15; and
(B) information related to any administrative, civil or criminal findings by any
governmental jurisdiction.
(b) Issuance of license
The minimum standards for licensing and registration as a State-licensed loan originator
shall include the following:
(1) The applicant has never had a loan originator license revoked in any governmental
jurisdiction.
(2) The applicant has not been convicted of, or pled guilty or nolo contendere to, a
felony in a domestic, foreign, or military court-(A) during the 7-year period preceding the date of the application for licensing and
registration; or
(B) at any time preceding such date of application, if such felony involved an act of
fraud, dishonesty, or a breach of trust, or money laundering.
(3) The applicant has demonstrated financial responsibility, character, and general
fitness such as to command the confidence of the community and to warrant a
determination that the loan originator will operate honestly, fairly, and efficiently
within the purposes of this chapter.
(4) The applicant has completed the pre-licensing education requirement described in
subsection (c).
(5) The applicant has passed a written test that meets the test requirement described in
subsection (d).
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(6) The applicant has met either a net worth or surety bond requirement, or paid into a
State fund, as required by the State pursuant to section 1507(d)(6) of this title.
…
12 U.S.C. 1829 – Penalty for unauthorized participation by convicted individual
(a) Prohibition
(1) In general
Except with the prior written consent of the Corporation—
(A) any person who has been convicted of any criminal offense involving dishonesty
or a breach of trust or money laundering, or has agreed to enter into a pretrial
diversion or similar program in connection with a prosecution for such offense, may
not—
(i) become, or continue as, an institution-affiliated party with respect to any insured
depository institution;
(ii) own or control, directly or indirectly, any insured depository institution; or
(iii) otherwise participate, directly or indirectly, in the conduct of the affairs of any
insured depository institution; and
(B) any insured depository institution may not permit any person referred to in
subparagraph (A) to engage in any conduct or continue any relationship prohibited
under such subparagraph.
(2) Minimum 10-year prohibition period for certain offenses
(A) In general
If the offense referred to in paragraph (1)(A) in connection with any person referred
to in such paragraph is—
(i) an offense under—
(I) section 215, 656, 657, 1005, 1006, 1007, 1008, 1014, 1032, 1344, 1517, 1956,
or 1957 of Title 18; or
(II) section 1341 or 1343 of such title which affects any financial institution (as
defined in section 20 of such title); or
(ii) the offense of conspiring to commit any such offense,
the Corporation may not consent to any exception to the application of paragraph
(1) to such person during the 10-year period beginning on the date the conviction or
the agreement of the person becomes final.
(B) Exception by order of sentencing court
(i) In general
On motion of the Corporation, the court in which the conviction or the agreement of
a person referred to in subparagraph (A) has been entered may grant an exception to
the application of paragraph (1) to such person if granting the exception is in the
interest of justice.
(ii) Period for filing

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A motion may be filed under clause (i) at any time during the 10-year period
described in subparagraph (A) with regard to the person on whose behalf such
motion is made.
(b) Penalty
Whoever knowingly violates subsection (a) of this section shall be fined not more than
$1,000,000 for each day such prohibition is violated or imprisoned for not more than 5
years, or both.
…
(d) Bank holding companies
(1) In general
Subsections (a) and (b) of this section shall apply to any company (other than a foreign
bank) that is a bank holding company and any organization organized and operated
under section 25A of the Federal Reserve Act or operating under section 25 of the
Federal Reserve Act, as if such bank holding company or organization were an insured
depository institution, except that such subsections shall be applied for purposes of this
subsection by substituting “Board of Governors of the Federal Reserve System” for
“Corporation” each place that term appears in such subsections.
(2) Authority of board
The Board of Governors of the Federal Reserve System may provide exemptions, by
regulation or order, from the application of paragraph (1) if the exemption is consistent
with the purposes of this subsection.
(e) Savings and loan holding companies
(1) In general
Subsections (a) and (b) of this section shall apply to any savings and loan holding
company as if such savings and loan holding company were an insured depository
institution, except that such subsections shall be applied for purposes of this subsection
by substituting “Director of the Office of Thrift Supervision” for “Corporation” each
place that term appears in such subsections.
(2) Authority of director
The Director of the Office of Thrift Supervision may provide exemptions, by regulation
or order, from the application of paragraph (1) if the exemption is consistent with the
purposes of this subsection.

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15 U.S.C. 78o – Registration and regulation of brokers and dealers
…
(b) Manner of registration of brokers and dealers
(1) A broker or dealer may be registered by filing with the Commission an application
for registration in such form and containing such information and documents
concerning such broker or dealer and any persons associated with such broker or dealer
as the Commission, by rule, may prescribe as necessary or appropriate in the public
interest or for the protection of investors. Within forty-five days of the date of the filing
of such application (or within such longer period as to which the applicant consents),
the Commission shall—
(A) by order grant registration, or
(B) institute proceedings to determine whether registration should be denied. Such
proceedings shall include notice of the grounds for denial under consideration and
opportunity for hearing and shall be concluded within one hundred twenty days of the
date of the filing of the application for registration. At the conclusion of such
proceedings, the Commission, by order, shall grant or deny such registration. The
order granting registration shall not be effective until such broker or dealer has
become a member of a registered securities association, or until such broker or dealer
has become a member of a national securities exchange if such broker or dealer
effects transactions solely on that exchange, unless the Commission has exempted
such broker or dealer, by rule or order, from such membership. The Commission may
extend the time for conclusion of such proceedings for up to ninety days if it finds
good cause for such extension and publishes its reasons for so finding or for such
longer period as to which the applicant consents.
The Commission shall grant such registration if the Commission finds that the
requirements of this section are satisfied. The Commission shall deny such registration
if it does not make such a finding or if it finds that if the applicant were so registered,
its registration would be subject to suspension or revocation under paragraph (4) of this
subsection.
…
(4) The Commission, by order, shall censure, place limitations on the activities,
functions, or operations of, suspend for a period not exceeding twelve months, or
revoke the registration of any broker or dealer if it finds, on the record after notice and
opportunity for hearing, that such censure, placing of limitations, suspension, or
revocation is in the public interest and that such broker or dealer, whether prior or
subsequent to becoming such, or any person associated with such broker or dealer,
whether prior or subsequent to becoming so associated—
…
(B) has been convicted within ten years preceding the filing of any application for
registration or at any time thereafter of any felony or misdemeanor or of a
substantially equivalent crime by a foreign court of competent jurisdiction which the
Commission finds—
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(i) involves the purchase or sale of any security, the taking of a false oath, the
making of a false report, bribery, perjury, burglary, any substantially equivalent
activity however denominated by the laws of the relevant foreign government, or
conspiracy to commit any such offense;
(ii) arises out of the conduct of the business of a broker, dealer, municipal securities
dealer, government securities broker, government securities dealer, investment
adviser, bank, insurance company, fiduciary, transfer agent, nationally recognized
statistical rating organization, foreign person performing a function substantially
equivalent to any of the above, or entity or person required to be registered under
the Commodity Exchange Act (7 U.S.C. 1 et seq.) or any substantially equivalent
foreign statute or regulation;
(iii) involves the larceny, theft, robbery, extortion, forgery, counterfeiting,
fraudulent concealment, embezzlement, fraudulent conversion, or misappropriation
of funds, or securities, or substantially equivalent activity however denominated by
the laws of the relevant foreign government; or
(iv) involves the violation of section 152, 1341, 1342, or 1343 or chapter 25 or 47
of Title 18, or a violation of a substantially equivalent foreign statute.
…
(6)(A) With respect to any person who is associated, who is seeking to become
associated, or, at the time of the alleged misconduct, who was associated or was
seeking to become associated with a broker or dealer, or any person participating, or, at
the time of the alleged misconduct, who was participating, in an offering of any penny
stock, the Commission, by order, shall censure, place limitations on the activities or
functions of such person, or suspend for a period not exceeding 12 months, or bar such
person from being associated with a broker or dealer, or from participating in an
offering of penny stock, if the Commission finds, on the record after notice and
opportunity for a hearing, that such censure, placing of limitations, suspension, or bar is
in the public interest and that such person—
(i) has committed or omitted any act, or is subject to an order or finding,
enumerated in subparagraph (A), (D), or (E) of paragraph (4) of this subsection;
(ii) has been convicted of any offense specified in subparagraph (B) of such
paragraph (4) within 10 years of the commencement of the proceedings under this
paragraph; or
(iii) is enjoined from any action, conduct, or practice specified in subparagraph (c)
of such paragraph (4).
…
15 U.S.C. 80a-9 – Ineligibility of certain affiliated persons and underwriters
(a) Persons deemed ineligible for service with investment companies, etc.; investment
adviser
It shall be unlawful for any of the following persons to serve or act in the capacity of
employee, officer, director, member of an advisory board, investment adviser, or
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depositor of any registered investment company, or principal underwriter for any
registered open-end company, registered unit investment trust, or registered face-amount
certificate company:
(1) any person who within 10 years has been convicted of any felony or misdemeanor
involving the purchase or sale of any security or arising out of such person’s conduct as
an underwriter, broker, dealer, investment adviser, municipal securities dealer,
government securities broker, government securities dealer, bank, transfer agent, credit
rating agency, or entity or person required to be registered under the Commodity
Exchange Act, [7 U.S.C.A. § 1 et seq.], or as an affiliated person, salesman, or
employee of any investment company, bank, insurance company, or entity or person
required to be registered under the Commodity Exchange Act;
…
(c) Application of ineligible person for exemption
Any person who is ineligible, by reason of subsection (a) of this section, to serve or act in
the capacities enumerated in such subsection, may file with the Commission an
application for an exemption from the provisions of such subsection. The Commission
shall by order grant such application, either unconditionally or on an appropriate
temporary or other conditional basis, if it is established that the prohibitions of such
subsection (a) as applied to such person, are unduly or disproportionately severe or that
the conduct of such person has been such as not to make it against the public interest or
protection of investors to grant such application.
15 U.S.C. 80b-3 – Registration of investment advisers
…
(c) Procedure for registration; filing of application; effective date of registration;
amendment of registration
…
(2) Within forty-five days of the date of the filing of such application (or within such
longer period as to which the applicant consents) the Commission shall—
(A) by order grant such registration; or
(B) institute proceedings to determine whether registration should be denied. Such
proceedings shall include notice of the grounds for denial under consideration and
opportunity for hearing and shall be concluded within one hundred twenty days of the
date of the filing of the application for registration. At the conclusion of such
proceedings the Commission, by order, shall grant or deny such registration. The
Commission may extend the time for conclusion of such proceedings for up to ninety
days if it finds good cause for such extension and publishes its reasons for so finding
or for such longer period as to which the applicant consents.
The Commission shall grant such registration if the Commission finds that the
requirements of this section are satisfied and that the applicant is not prohibited from
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registering as an investment advisor under section 80b-3a of this title. The Commission
shall deny such registration if it does not make such a finding or if it finds that if the
applicant were so registered, its registration would be subject to suspension or revocation
under subsection (e) of this section.
…
(e) Censure, denial, or suspension of registration; notice and hearing
The Commission, by order, shall censure, place limitations on the activities, functions, or
operations of, suspend for a period not exceeding twelve months, or revoke the
registration of any investment adviser if it finds, on the record after notice and
opportunity for hearing, that such censure, placing of limitations, suspension, or
revocation is in the public interest and that such investment adviser, or any person
associated with such investment adviser, whether prior to or subsequent to becoming so
associated—
…
(2) has been convicted within ten years preceding the filing of any application for
registration or at any time thereafter of any felony or misdemeanor or of a substantially
equivalent crime by a foreign court of competent jurisdiction which the Commission
finds—
(A) involves the purchase or sale of any security, the taking of a false oath, the
making of a false report, bribery, perjury, burglary, any substantially equivalent
activity however denominated by the laws of the relevant foreign government, or
conspiracy to commit any such offense;
(B) arises out of the conduct of the business of a broker, dealer, municipal securities
dealer, investment adviser, bank, insurance company, government securities broker,
government securities dealer, fiduciary, transfer agent, credit rating agency, foreign
person performing a function substantially equivalent to any of the above, or entity or
person required to be registered under the Commodity Exchange Act [7 U.S.C.A. § 1
et seq.] or any substantially equivalent statute or regulation;
(C) involves the larceny, theft, robbery, extortion, forgery, counterfeiting, fraudulent
concealment, embezzlement, fraudulent conversion, or misappropriation of funds or
securities or substantially equivalent activity however denominated by the laws of the
relevant foreign government; or
(D) involves the violation of section 152, 1341, 1342, or 1343 or chapter 25 or 47 of
Title 18, or a violation of substantially equivalent foreign statute.
(3) has been convicted during the 10-year period preceding the date of filing of any
application for registration, or at any time thereafter, of—
(A) any crime that is punishable by imprisonment for 1 or more years, and that is not
described in paragraph (2); or
(B) a substantially equivalent crime by a foreign court of competent jurisdiction.
…
(f) Bar or suspension from association with investment adviser; notice and hearing

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The Commission, by order, shall censure or place limitations on the activities of any
person associated, seeking to become associated, or, at the time of the alleged
misconduct, associated or seeking to become associated with an investment adviser, or
suspend for a period not exceeding twelve months or bar any such person from being
associated with an investment adviser, if the Commission finds, on the record after notice
and opportunity for hearing, that such censure, placing of limitations, suspension, or bar
is in the public interest and that such person has committed or omitted any act or
omission enumerated in paragraph (1), (5), (6), (8), or (9) of subsection (e) of this section
or has been convicted of any offense specified in paragraph (2) or (3) of subsection (e) of
this section within ten years of the commencement of the proceedings under this
subsection, or is enjoined from any action, conduct, or practice specified in paragraph (4)
of subsection (e) of this section. It shall be unlawful for any person as to whom such an
order suspending or barring him from being associated with an investment adviser is in
effect willfully to become, or to be, associated with an investment adviser without the
consent of the Commission, and it shall be unlawful for any investment adviser to permit
such a person to become, or remain, a person associated with him without the consent of
the Commission, if such investment adviser knew, or in the exercise of reasonable care,
should have known, of such order.
…
(i) Money penalties in administrative proceedings
…
(3) Determination of public interest
In considering under this section whether a penalty is in the public interest, the
Commission may consider—
(A) whether the act or omission for which such penalty is assessed involved fraud,
deceit, manipulation, or deliberate or reckless disregard of a regulatory requirement;
(B) the harm to other persons resulting either directly or indirectly from such act or
omission;
(C) the extent to which any person was unjustly enriched, taking into account any
restitution made to persons injured by such behavior;
(D) whether such person previously has been found by the Commission, another
appropriate regulatory agency, or a self-regulatory organization to have violated the
Federal securities laws, State securities laws, or the rules of a self-regulatory
organization, has been enjoined by a court of competent jurisdiction from violations
of such laws or rules, or has been convicted by a court of competent jurisdiction of
violations of such laws or of any felony or misdemeanor described in subsection
(e)(2) of this section;
(E) the need to deter such person and other persons from committing such acts or
omissions; and
(F) such other matters as justice may require.

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18 U.S.C. 201 – Bribery of public officials and witnesses
(a) For the purpose of this section—
(1) the term “public official” means Member of Congress, Delegate, or Resident
Commissioner, either before or after such official has qualified, or an officer or
employee or person acting for or on behalf of the United States, or any department,
agency or branch of Government thereof, including the District of Columbia, in any
official function, under or by authority of any such department, agency, or branch of
Government, or a juror;
(2) the term “person who has been selected to be a public official” means any person
who has been nominated or appointed to be a public official, or has been officially
informed that such person will be so nominated or appointed; and
(3) the term “official act” means any decision or action on any question, matter, cause,
suit, proceeding or controversy, which may at any time be pending, or which may by
law be brought before any public official, in such official’s official capacity, or in such
official’s place of trust or profit.
(b) Whoever—
(1) directly or indirectly, corruptly gives, offers or promises anything of value to any
public official or person who has been selected to be a public official, or offers or
promises any public official or any person who has been selected to be a public official
to give anything of value to any other person or entity, with intent—
(A) to influence any official act; or
(B) to influence such public official or person who has been selected to be a public
official to commit or aid in committing, or collude in, or allow, any fraud, or make
opportunity for the commission of any fraud, on the United States; or
(C) to induce such public official or such person who has been selected to be a public
official to do or omit to do any act in violation of the lawful duty of such official or
person;
(2) being a public official or person selected to be a public official, directly or
indirectly, corruptly demands, seeks, receives, accepts, or agrees to receive or accept
anything of value personally or for any other person or entity, in return for:
(A) being influenced in the performance of any official act;
(B) being influenced to commit or aid in committing, or to collude in, or allow, any
fraud, or make opportunity for the commission of any fraud, on the United States; or
(C) being induced to do or omit to do any act in violation of the official duty of such
official or person;
(3) directly or indirectly, corruptly gives, offers, or promises anything of value to any
person, or offers or promises such person to give anything of value to any other person
or entity, with intent to influence the testimony under oath or affirmation of such first83
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mentioned person as a witness upon a trial, hearing, or other proceeding, before any
court, any committee of either House or both Houses of Congress, or any agency,
commission, or officer authorized by the laws of the United States to hear evidence or
take testimony, or with intent to influence such person to absent himself therefrom;
(4) directly or indirectly, corruptly demands, seeks, receives, accepts, or agrees to
receive or accept anything of value personally or for any other person or entity in return
for being influenced in testimony under oath or affirmation as a witness upon any such
trial, hearing, or other proceeding, or in return for absenting himself therefrom;
shall be fined under this title or not more than three times the monetary equivalent of
the thing of value, whichever is greater, or imprisoned for not more than fifteen years,
or both, and may be disqualified from holding any office of honor, trust, or profit under
the United States.
18 U.S.C. 592 – Troops at polls
Whoever, being an officer of the Army or Navy, or other person in the civil, military, or
naval service of the United States, orders, brings, keeps, or has under his authority or
control any troops or armed men at any place where a general or special election is held,
unless such force be necessary to repel armed enemies of the United States, shall be fined
under this title or imprisoned not more than five years, or both; and be disqualified from
holding any office of honor, profit, or trust under the United States.
This section shall not prevent any officer or member of the armed forces of the United
States from exercising the right of suffrage in any election district to which he may
belong, if otherwise qualified according to the laws of the State in which he offers to
vote.
18 U.S.C. 593 – Interference by armed forces
Whoever, being an officer or member of the Armed Forces of the United States,
prescribes or fixes or attempts to prescribe or fix, whether by proclamation, order or
otherwise, the qualifications of voters at any election in any State; or
Whoever, being such officer or member, prevents or attempts to prevent by force, threat,
intimidation, advice or otherwise any qualified voter of any State from fully exercising
the right of suffrage at any general or special election; or
Whoever, being such officer or member, orders or compels or attempts to compel any
election officer in any State to receive a vote from a person not legally qualified to vote;
or
Whoever, being such officer or member, imposes or attempts to impose any regulations
for conducting any general or special election in a State, different from those prescribed
by law; or
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Whoever, being such officer or member, interferes in any manner with an election
officer’s discharge of his duties-Shall be fined under this title or imprisoned not more than five years, or both; and
disqualified from holding any office of honor, profit or trust under the United States.
This section shall not prevent any officer or member of the Armed Forces from
exercising the right of suffrage in any district to which he may belong, if otherwise
qualified according to the laws of the State of such district.
18 U.S.C. 842 – Unlawful acts
(a) It shall be unlawful for any person—
(1) to engage in the business of importing, manufacturing, or dealing in explosive
materials without a license issued under this chapter;
…
(d) It shall be unlawful for any person knowingly to distribute explosive materials to any
individual who:
(1) is under twenty-one years of age;
(2) has been convicted in any court of a crime punishable by imprisonment for a term
exceeding one year;
(3) is under indictment for a crime punishable by imprisonment for a term exceeding
one year;
(4) is a fugitive from justice;
(5) is an unlawful user of or addicted to any controlled substance (as defined in section
102 of the Controlled Substances Act (21 U.S.C. 802));
…
(i) It shall be unlawful for any person—
(1) who is under indictment for, or who has been convicted in any court of, a crime
punishable by imprisonment for a term exceeding one year;
(2) who is a fugitive from justice;
(3) who is an unlawful user of or addicted to any controlled substance (as defined in
section 102 of the Controlled Substances Act (21 U.S.C. 802));
…

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to ship or transport any explosive in or affecting interstate or foreign commerce or to
receive or possess any explosive which has been shipped or transported in or affecting
interstate or foreign commerce.
18 U.S.C. 843 – Licenses and user permits
…
(b) Upon the filing of a proper application and payment of the prescribed fee, and subject
to the provisions of this chapter and other applicable laws, the Attorney General shall
issue to such applicant the appropriate license or permit if—
(1) the applicant (or, if the applicant is a corporation, partnership, or association, each
responsible person with respect to the applicant) is not a person described in section
842(i);
…
(6) none of the employees of the applicant who will be authorized by the applicant to
possess explosive materials is any person described in section 842(i); and
…
(d) The Attorney General may revoke any license or permit issued under this section if in
the opinion of the Attorney General the holder thereof has violated any provision of this
chapter or any rule or regulation prescribed by the Attorney General under this chapter,
or has become ineligible to acquire explosive materials under section 842(d). The
Secretary’s action under this subsection may be reviewed only as provided in subsection
(e)(2) of this section.
(e)(1) Any person whose application is denied or whose license or permit is revoked shall
receive a written notice from the Attorney General stating the specific grounds upon
which such denial or revocation is based. Any notice of a revocation of a license or
permit shall be given to the holder of such license or permit prior to or concurrently with
the effective date of the revocation.
(2) If the Attorney General denies an application for, or revokes a license, or permit, he
shall, upon request by the aggrieved party, promptly hold a hearing to review his denial
or revocation. In the case of a revocation, the Attorney General may upon a request of
the holder stay the effective date of the revocation. A hearing under this section shall be
at a location convenient to the aggrieved party. The Attorney General shall give written
notice of his decision to the aggrieved party within a reasonable time after the hearing.
The aggrieved party may, within sixty days after receipt of the Secretary’s written
decision, file a petition with the United States court of appeals for the district in which
he resides or has his principal place of business for a judicial review of such denial or
revocation, pursuant to sections 701-706 of title 5, United States Code.
…
(h)(1) If the Secretary receives, from an employer, the name and other identifying
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information of a responsible person or an employee who will be authorized by the
employer to possess explosive materials in the course of employment with the employer,
the Secretary shall determine whether the responsible person or employee is one of the
persons described in any paragraph of section 842(i). In making the determination, the
Secretary may take into account a letter or document issued under paragraph (2).
(2)(A) If the Secretary determines that the responsible person or the employee is not
one of the persons described in any paragraph of section 842(i), the Secretary shall
notify the employer in writing or electronically of the determination and issue, to the
responsible person or employee, a letter of clearance, which confirms the
determination.
(B) If the Secretary determines that the responsible person or employee is one of the
persons described in any paragraph of section 842(i), the Secretary shall notify the
employer in writing or electronically of the determination and issue to the responsible
person or the employee, as the case may be, a document that—
(i) confirms the determination;
(ii) explains the grounds for the determination;
(iii) provides information on how the disability may be relieved; and
(iv) explains how the determination may be appealed.
18 U.S.C. 921 - Definitions
(a) As used in this chapter-(1) The term “person” and the term “whoever” include any individual, corporation,
company, association, firm, partnership, society, or joint stock company.
…
(3) The term “firearm” means (A) any weapon (including a starter gun) which will or is
designed to or may readily be converted to expel a projectile by the action of an
explosive; (B) the frame or receiver of any such weapon; (C) any firearm muffler or
firearm silencer; or (D) any destructive device. Such term does not include an antique
firearm.
(4) The term “destructive device” means—
(A) any explosive, incendiary, or poison gas—
(i) bomb,
(ii) grenade,
(iii) rocket having a propellant charge of more than four ounces,
(iv) missile having an explosive or incendiary charge of more than one-quarter
ounce,
(v) mine, or
(vi) device similar to any of the devices described in the preceding clauses;
(B) any type of weapon (other than a shotgun or a shotgun shell which the Attorney
General finds is generally recognized as particularly suitable for sporting purposes)
by whatever name known which will, or which may be readily converted to, expel a
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projectile by the action of an explosive or other propellant, and which has any barrel
with a bore of more than one-half inch in diameter; and
(C) any combination of parts either designed or intended for use in converting any
device into any destructive device described in subparagraph (A) or (B) and from
which a destructive device may be readily assembled.
The term “destructive device” shall not include any device which is neither designed
nor redesigned for use as a weapon; any device, although originally designed for use
as a weapon, which is redesigned for use as a signaling, pyrotechnic, line throwing,
safety, or similar device; surplus ordnance sold, loaned, or given by the Secretary of
the Army pursuant to the provisions ofsection 4684(2), 4685, or 4686 of title 10; or
any other device which the Attorney General finds is not likely to be used as a
weapon, is an antique, or is a rifle which the owner intends to use solely for sporting,
recreational or cultural purposes.
(5) The term “shotgun” means a weapon designed or redesigned, made or remade, and
intended to be fired from the shoulder and designed or redesigned and made or remade
to use the energy of an explosive to fire through a smooth bore either a number of ball
shot or a single projectile for each single pull of the trigger.
(6) The term “short-barreled shotgun” means a shotgun having one or more barrels less
than eighteen inches in length and any weapon made from a shotgun (whether by
alteration, modification or otherwise) if such a weapon as modified has an overall
length of less than twenty-six inches.
(7) The term “rifle” means a weapon designed or redesigned, made or remade, and
intended to be fired from the shoulder and designed or redesigned and made or remade
to use the energy of an explosive to fire only a single projectile through a rifled bore for
each single pull of the trigger.
(8) The term “short-barreled rifle” means a rifle having one or more barrels less than
sixteen inches in length and any weapon made from a rifle (whether by alteration,
modification, or otherwise) if such weapon, as modified, has an overall length of less
than twenty-six inches.
(9) The term “importer” means any person engaged in the business of importing or
bringing firearms or ammunition into the United States for purposes of sale or
distribution; and the term “licensed importer” means any such person licensed under
the provisions of this chapter.
(10) The term “manufacturer” means any person engaged in the business of
manufacturing firearms or ammunition for purposes of sale or distribution; and the term
“licensed manufacturer” means any such person licensed under the provisions of this
chapter.
(11) The term “dealer” means (A) any person engaged in the business of selling
firearms at wholesale or retail, (B) any person engaged in the business of repairing
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firearms or of making or fitting special barrels, stocks, or trigger mechanisms to
firearms, or (C) any person who is a pawnbroker. The term “licensed dealer” means any
dealer who is licensed under the provisions of this chapter.
(12) The term “pawnbroker” means any person whose business or occupation includes
the taking or receiving, by way of pledge or pawn, of any firearm as security for the
payment or repayment of money.
(13) The term “collector” means any person who acquires, holds, or disposes of
firearms as curios or relics, as the Attorney General shall by regulation define, and the
term “licensed collector” means any such person licensed under the provisions of this
chapter.
(14) The term “indictment” includes an indictment or information in any court under
which a crime punishable by imprisonment for a term exceeding one year may be
prosecuted.
(15) The term “fugitive from justice” means any person who has fled from any State to
avoid prosecution for a crime or to avoid giving testimony in any criminal proceeding.
(16) The term “antique firearm” means—
(A) any firearm (including any firearm with a matchlock, flintlock, percussion cap, or
similar type of ignition system) manufactured in or before 1898; or
(B) any replica of any firearm described in subparagraph (A) if such replica—
(i) is not designed or redesigned for using rimfire or conventional centerfire fixed
ammunition, or
(ii) uses rimfire or conventional centerfire fixed ammunition which is no longer
manufactured in the United States and which is not readily available in the ordinary
channels of commercial trade; or
(C) any muzzle loading rifle, muzzle loading shotgun, or muzzle loading pistol,
which is designed to use black powder, or a black powder substitute, and which
cannot use fixed ammunition. For purposes of this subparagraph, the term “antique
firearm” shall not include any weapon which incorporates a firearm frame or receiver,
any firearm which is converted into a muzzle loading weapon, or any muzzle loading
weapon which can be readily converted to fire fixed ammunition by replacing the
barrel, bolt, breechblock, or any combination thereof.
(17)(A) The term “ammunition” means ammunition or cartridge cases, primers, bullets,
or propellent powder designed for use in any firearm.
(B) The term “armor piercing ammunition” means—
(i) a projectile or projectile core which may be used in a handgun and which is
constructed entirely (excluding the presence of traces of other substances) from one
or a combination of tungsten alloys, steel, iron, brass, bronze, beryllium copper, or
depleted uranium; or

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(ii) a full jacketed projectile larger than .22 caliber designed and intended for use in
a handgun and whose jacket has a weight of more than 25 percent of the total
weight of the projectile.
(C) The term “armor piercing ammunition” does not include shotgun shot required by
Federal or State environmental or game regulations for hunting purposes, a frangible
projectile designed for target shooting, a projectile which the Attorney General finds
is primarily intended to be used for sporting purposes, or any other projectile or
projectile core which the Attorney General finds is intended to be used for industrial
purposes, including a charge used in an oil and gas well perforating device.
(18) The term “Attorney General” means the Attorney General of the United States”
(19) The term “published ordinance” means a published law of any political
subdivision of a State which the Attorney General determines to be relevant to the
enforcement of this chapter and which is contained on a list compiled by the Attorney
General, which list shall be published in the Federal Register, revised annually, and
furnished to each licensee under this chapter.
(20) The term “crime punishable by imprisonment for a term exceeding one year” does
not include—
(A) any Federal or State offenses pertaining to antitrust violations, unfair trade
practices, restraints of trade, or other similar offenses relating to the regulation of
business practices, or
(B) any State offense classified by the laws of the State as a misdemeanor and
punishable by a term of imprisonment of two years or less.
What constitutes a conviction of such a crime shall be determined in accordance with
the law of the jurisdiction in which the proceedings were held. Any conviction which
has been expunged, or set aside or for which a person has been pardoned or has had
civil rights restored shall not be considered a conviction for purposes of this chapter,
unless such pardon, expungement, or restoration of civil rights expressly provides that
the person may not ship, transport, possess, or receive firearms.
(21) The term “engaged in the business” means—
(A) as applied to a manufacturer of firearms, a person who devotes time, attention,
and labor to manufacturing firearms as a regular course of trade or business with the
principal objective of livelihood and profit through the sale or distribution of the
firearms manufactured;
(B) as applied to a manufacturer of ammunition, a person who devotes time, attention,
and labor to manufacturing ammunition as a regular course of trade or business with
the principal objective of livelihood and profit through the sale or distribution of the
ammunition manufactured;
(C) as applied to a dealer in firearms, as defined in section 921(a)(11)(A), a person
who devotes time, attention, and labor to dealing in firearms as a regular course of
trade or business with the principal objective of livelihood and profit through the
repetitive purchase and resale of firearms, but such term shall not include a person
who makes occasional sales, exchanges, or purchases of firearms for the enhancement
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of a personal collection or for a hobby, or who sells all or part of his personal
collection of firearms;
(D) as applied to a dealer in firearms, as defined in section 921(a)(11)(B), a person
who devotes time, attention, and labor to engaging in such activity as a regular course
of trade or business with the principal objective of livelihood and profit, but such
term shall not include a person who makes occasional repairs of firearms, or who
occasionally fits special barrels, stocks, or trigger mechanisms to firearms;
(E) as applied to an importer of firearms, a person who devotes time, attention, and
labor to importing firearms as a regular course of trade or business with the principal
objective of livelihood and profit through the sale or distribution of the firearms
imported; and
(F) as applied to an importer of ammunition, a person who devotes time, attention,
and labor to importing ammunition as a regular course of trade or business with the
principal objective of livelihood and profit through the sale or distribution of the
ammunition imported.
(22) The term “with the principal objective of livelihood and profit” means that the
intent underlying the sale or disposition of firearms is predominantly one of obtaining
livelihood and pecuniary gain, as opposed to other intents, such as improving or
liquidating a personal firearms collection: Provided, That proof of profit shall not be
required as to a person who engages in the regular and repetitive purchase and
disposition of firearms for criminal purposes or terrorism. For purposes of this
paragraph, the term “terrorism” means activity, directed against United States persons,
which—
(A) is committed by an individual who is not a national or permanent resident alien of
the United States;
(B) involves violent acts or acts dangerous to human life which would be a criminal
violation if committed within the jurisdiction of the United States; and
(C) is intended—
(i) to intimidate or coerce a civilian population;
(ii) to influence the policy of a government by intimidation or coercion; or
(iii) to affect the conduct of a government by assassination or kidnapping.
(23) The term “machinegun” has the meaning given such term in section 5845(b) of the
National Firearms Act (26 U.S.C. 5845(b)).
(24) The terms “firearm silencer” and “firearm muffler” mean any device for silencing,
muffling, or diminishing the report of a portable firearm, including any combination of
parts, designed or redesigned, and intended for use in assembling or fabricating a
firearm silencer or firearm muffler, and any part intended only for use in such assembly
or fabrication.
(25) The term “school zone” means—
(A) in, or on the grounds of, a public, parochial or private school; or
(B) within a distance of 1,000 feet from the grounds of a public, parochial or private
school.
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(26) The term “school” means a school which provides elementary or secondary
education, as determined under State law.
(27) The term “motor vehicle” has the meaning given such term in section 13102 of
title 49, United States Code.
(28) The term “semiautomatic rifle” means any repeating rifle which utilizes a portion
of the energy of a firing cartridge to extract the fired cartridge case and chamber the
next round, and which requires a separate pull of the trigger to fire each cartridge.
(29) The term “handgun” means—
(A) a firearm which has a short stock and is designed to be held and fired by the use
of a single hand; and
(B) any combination of parts from which a firearm described in subparagraph (A) can
be assembled.
…
(32) The term “intimate partner” means, with respect to a person, the spouse of the
person, a former spouse of the person, an individual who is a parent of a child of the
person, and an individual who cohabitates or has cohabited with the person.
(33)(A) Except as provided in subparagraph (C), the term “misdemeanor crime of
domestic violence” means an offense that—
(i) is a misdemeanor under Federal, State, or Tribal law; and
(ii) has, as an element, the use or attempted use of physical force, or the threatened
use of a deadly weapon, committed by a current or former spouse, parent, or
guardian of the victim, by a person with whom the victim shares a child in common,
by a person who is cohabiting with or has cohabited with the victim as a spouse,
parent, or guardian, or by a person similarly situated to a spouse, parent, or guardian
of the victim
(B)(i) A person shall not be considered to have been convicted of such an offense for
purposes of this chapter, unless—
(I) the person was represented by counsel in the case, or knowingly and
intelligently waived the right to counsel in the case; and
(II) in the case of a prosecution for an offense described in this paragraph for
which a person was entitled to a jury trial in the jurisdiction in which the case was
tried, either
(aa) the case was tried by a jury, or
(bb) the person knowingly and intelligently waived the right to have the case
tried by a jury, by guilty plea or otherwise.
(ii) A person shall not be considered to have been convicted of such an offense for
purposes of this chapter if the conviction has been expunged or set aside, or is an
offense for which the person has been pardoned or has had civil rights restored (if
the law of the applicable jurisdiction provides for the loss of civil rights under such
an offense) unless the pardon, expungement, or restoration of civil rights expressly
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provides that the person may not ship, transport, possess, or receive firearms.
(34) The term “secure gun storage or safety device” means-(A) a device that, when installed on a firearm, is designed to prevent the firearm from
being operated without first deactivating the device;
(B) a device incorporated into the design of the firearm that is designed to prevent the
operation of the firearm by anyone not having access to the device; or
(C) a safe, gun safe, gun case, lock box, or other device that is designed to be or can
be used to store a firearm and that is designed to be unlocked only by means of a key,
a combination, or other similar means.
(35) The term “body armor” means any product sold or offered for sale, in interstate or
foreign commerce, as personal protective body covering intended to protect against
gunfire, regardless of whether the product is to be worn alone or is sold as a
complement to another product or garment.
(b) For the purposes of this chapter, a member of the Armed Forces on active duty is a
resident of the State in which his permanent duty station is located.
18 U.S.C. 922 – Unlawful acts
…
(d) It shall be unlawful for any person to sell or otherwise dispose of any firearm or
ammunition to any person knowing or having reasonable cause to believe that such
person—
(1) is under indictment for, or has been convicted in any court of, a crime punishable by
imprisonment for a term exceeding one year;
(2) is a fugitive from justice;
(3) is an unlawful user of or addicted to any controlled substance (as defined in section
102 of the Controlled Substances Act (21 U.S.C. 802));
(4) has been adjudicated as a mental defective or has been committed to any mental
institution;
(5) who, being an alien—
(A) is illegally or unlawfully in the United States; or
(B) except as provided in subsection (y)(2), has been admitted to the United States
under a nonimmigrant visa (as that term is defined in section 101(a)(26) of the
Immigration and Nationality Act (8 U.S.C. 1101(a)(26)));
(6) who has been discharged from the Armed Forces under dishonorable conditions;
(7) who, having been a citizen of the United States, has renounced his citizenship;
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(8) is subject to a court order that restrains such person from harassing, stalking, or
threatening an intimate partner of such person or child of such intimate partner or
person, or engaging in other conduct that would place an intimate partner in reasonable
fear of bodily injury to the partner or child, except that this paragraph shall only apply
to a court order that—
(A) was issued after a hearing of which such person received actual notice, and at
which such person had the opportunity to participate; and
(B)(i) includes a finding that such person represents a credible threat to the physical
safety of such intimate partner or child; or
(ii) by its terms explicitly prohibits the use, attempted use, or threatened use of
physical force against such intimate partner or child that would reasonably be
expected to cause bodily injury; or
(9) has been convicted in any court of a misdemeanor crime of domestic violence.
This subsection shall not apply with respect to the sale or disposition of a firearm or
ammunition to a licensed importer, licensed manufacturer, licensed dealer, or licensed
collector who pursuant to subsection (b) of section 925 of this chapter is not precluded
from dealing in firearms or ammunition, or to a person who has been granted relief
from disabilities pursuant tosubsection (c) of section 925 of this chapter.
…
(g) It shall be unlawful for any person—
(1) who has been convicted in any court of, a crime punishable by imprisonment for a
term exceeding one year;
(2) who is a fugitive from justice;
(3) who is an unlawful user of or addicted to any controlled substance (as defined in
section 102 of the Controlled Substances Act (21 U.S.C. 802));
(4) who has been adjudicated as a mental defective or who has been committed to a
mental institution;
(5) who, being an alien—
(A) is illegally or unlawfully in the United States; or
(B) except as provided in subsection (y)(2), has been admitted to the United States
under a nonimmigrant visa (as that term is defined in section 101(a)(26) of the
Immigration and Nationality Act (8 U.S.C. 1101(a)(26)));
(6) who has been discharged from the Armed Forces under dishonorable conditions;
(7) who, having been a citizen of the United States, has renounced his citizenship;
(8) who is subject to a court order that—
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(A) was issued after a hearing of which such person received actual notice, and at
which such person had an opportunity to participate;
(B) restrains such person from harassing, stalking, or threatening an intimate partner
of such person or child of such intimate partner or person, or engaging in other
conduct that would place an intimate partner in reasonable fear of bodily injury to the
partner or child; and
(C)(i) includes a finding that such person represents a credible threat to the physical
safety of such intimate partner or child; or
(ii) by its terms explicitly prohibits the use, attempted use, or threatened use of
physical force against such intimate partner or child that would reasonably be
expected to cause bodily injury; or
(9) who has been convicted in any court of a misdemeanor crime of domestic violence,
to ship or transport in interstate or foreign commerce, or possess in or affecting
commerce, any firearm or ammunition; or to receive any firearm or ammunition which
has been shipped or transported in interstate or foreign commerce.
(h) It shall be unlawful for any individual, who to that individual’s knowledge and while
being employed for any person described in any paragraph of subsection (g) of this
section, in the course of such employment—
(1) to receive, possess, or transport any firearm or ammunition in or affecting interstate
or foreign commerce; or
(2) to receive any firearm or ammunition which has been shipped or transported in
interstate or foreign commerce.
18 U.S.C. 931 – Prohibition on purchase, ownership, or possession of body armor by
violent felons
(a) In general.—Except as provided in subsection (b), it shall be unlawful for a person to
purchase, own, or possess body armor, if that person has been convicted of a felony that
is—
(1) a crime of violence (as defined in section 16); or
(2) an offense under State law that would constitute a crime of violence under
paragraph (1) if it occurred within the special maritime and territorial jurisdiction of the
United States.
(b) Affirmative defense.—
(1) In general.—It shall be an affirmative defense under this section that—
(A) the defendant obtained prior written certification from his or her employer that
the defendant’s purchase, use, or possession of body armor was necessary for the safe
performance of lawful business activity; and
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(B) the use and possession by the defendant were limited to the course of such
performance.
(2) Employer.—In this subsection, the term “employer” means any other individual
employed by the defendant’s business that supervises defendant’s activity. If that
defendant has no supervisor, prior written certification is acceptable from any other
employee of the business.
18 U.S.C. 1033 - Crimes by or affecting persons engaged in the business of insurance
whose activities affect interstate commerce
…
(e)(1)(A) Any individual who has been convicted of any criminal felony involving
dishonesty or a breach of trust, or who has been convicted of an offense under this
section, and who willfully engages in the business of insurance whose activities affect
interstate commerce or participates in such business, shall be fined as provided in this
title or imprisoned not more than 5 years, or both.
(B) Any individual who is engaged in the business of insurance whose activities
affect interstate commerce and who willfully permits the participation described in
subparagraph (A) shall be fined as provided in this title or imprisoned not more than 5
years, or both.
(2) A person described in paragraph (1)(A) may engage in the business of insurance or
participate in such business if such person has the written consent of any insurance
regulatory official authorized to regulate the insurer, which consent specifically refers
to this subsection.
(f) As used in this section—
(1) the term “business of insurance” means—
(A) the writing of insurance, or
(B) the reinsuring of risks,
by an insurer, including all acts necessary or incidental to such writing or reinsuring
and the activities of persons who act as, or are, officers, directors, agents, or
employees of insurers or who are other persons authorized to act on behalf of such
persons;
(2) the term “insurer” means any entity the business activity of which is the writing of
insurance or the reinsuring of risks, and includes any person who acts as, or is, an
officer, director, agent, or employee of that business;
(3) the term “interstate commerce” means—
(A) commerce within the District of Columbia, or any territory or possession of the
United States;

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(B) all commerce between any point in the State, territory, possession, or the District
of Columbia and any point outside thereof;
(C) all commerce between points within the same State through any place outside
such State; or
(D) all other commerce over which the United States has jurisdiction; and
(4) the term “State” includes any State, the District of Columbia, the Commonwealth of
Puerto Rico, the Northern Mariana Islands, the Virgin Islands, American Samoa, and
the Trust Territory of the Pacific Islands.
18 U.S.C. 1901 – Collecting or disbursing officer trading in public property
Whoever, being an officer of the United States concerned in the collection or the
disbursement of the revenues thereof, carries on any trade or business in the funds or
debts of the United States, or of any State, or in any public property of either, shall be
fined under this title or imprisoned not more than one year, or both; and shall be removed
from office, and be incapable of holding any office under the United States.
18 U.S.C. 1905 – Disclosure of confidential information generally
Whoever, being an officer or employee of the United States or of any department or
agency thereof, any person acting on behalf of the Federal Housing Finance Agency, or
agent of the Department of Justice as defined in the Antitrust Civil Process Act (15
U.S.C. 1311-1314), or being an employee of a private sector organization who is or was
assigned to an agency under chapter 37 of title 5, publishes, divulges, discloses, or makes
known in any manner or to any extent not authorized by law any information coming to
him in the course of his employment or official duties or by reason of any examination or
investigation made by, or return, report or record made to or filed with, such department
or agency or officer or employee thereof, which information concerns or relates to the
trade secrets, processes, operations, style of work, or apparatus, or to the identity,
confidential statistical data, amount or source of any income, profits, losses, or
expenditures of any person, firm, partnership, corporation, or association; or permits any
income return or copy thereof or any book containing any abstract or particulars thereof
to be seen or examined by any person except as provided by law; shall be fined under this
title, or imprisoned not more than one year, or both; and shall be removed from office or
employment.
18 U.S.C. 2071 – Concealment, removal, or mutilation generally
…
(b) Whoever, having the custody of any such record, proceeding, map, book, document,
paper, or other thing, willfully and unlawfully conceals, removes, mutilates, obliterates,
falsifies, or destroys the same, shall be fined under this title or imprisoned not more than
three years, or both; and shall forfeit his office and be disqualified from holding any
office under the United States. As used in this subsection, the term “office” does not
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include the office held by any person as a retired officer of the Armed Forces of the
United States.
18 U.S.C. 2381 – Treason
Whoever, owing allegiance to the United States, levies war against them or adheres to
their enemies, giving them aid and comfort within the United States or elsewhere, is
guilty of treason and shall suffer death, or shall be imprisoned not less than five years and
fined under this title but not less than $10,000; and shall be incapable of holding any
office under the United States.
18 U.S.C. 2385 – Advocating overthrow of Government
Whoever knowingly or willfully advocates, abets, advises, or teaches the duty, necessity,
desirability, or propriety of overthrowing or destroying the government of the United
States or the government of any State, Territory, District or Possession thereof, or the
government of any political subdivision therein, by force or violence, or by the
assassination of any officer of any such government; or
Whoever, with intent to cause the overthrow or destruction of any such government,
prints, publishes, edits, issues, circulates, sells, distributes, or publicly displays any
written or printed matter advocating, advising, or teaching the duty, necessity,
desirability, or propriety of overthrowing or destroying any government in the United
States by force or violence, or attempts to do so; or
Whoever organizes or helps or attempts to organize any society, group, or assembly of
persons who teach, advocate, or encourage the overthrow or destruction of any such
government by force or violence; or becomes or is a member of, or affiliates with, any
such society, group, or assembly of persons, knowing the purposes thereof-Shall be fined under this title or imprisoned not more than twenty years, or both, and shall
be ineligible for employment by the United States or any department or agency thereof,
for the five years next following his conviction.
If two or more persons conspire to commit any offense named in this section, each shall
be fined under this title or imprisoned not more than twenty years, or both, and shall be
ineligible for employment by the United States or any department or agency thereof, for
the five years next following his conviction.
As used in this section, the terms “organizes” and “organize”, with respect to any society,
group, or assembly of persons, include the recruiting of new members, the forming of
new units, and the regrouping or expansion of existing clubs, classes, and other units of
such society, group, or assembly of persons.

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18 U.S.C. 2387 – Activities affecting armed forces generally
(a) Whoever, with intent to interfere with, impair, or influence the loyalty, morale, or
discipline of the military or naval forces of the United States:
(1) advises, counsels, urges, or in any manner causes or attempts to cause
insubordination, disloyalty, mutiny, or refusal of duty by any member of the military or
naval forces of the United States; or
(2) distributes or attempts to distribute any written or printed matter which advises,
counsels, or urges insubordination, disloyalty, mutiny, or refusal of duty by any
member of the military or naval forces of the United States—
Shall be fined under this title or imprisoned not more than ten years, or both, and shall
be ineligible for employment by the United States or any department or agency thereof,
for the five years next following his conviction.
(b) For the purposes of this section, the term “military or naval forces of the United
States” includes the Army of the United States, the Navy, Air Force, Marine Corps, Coast
Guard, Navy Reserve, Marine Corps Reserve, and Coast Guard Reserve of the United
States; and, when any merchant vessel is commissioned in the Navy or is in the service of
the Army or the Navy, includes the master, officers, and crew of such vessel.
19 U.S.C. 1641 – Customs brokers
(a) Definitions
As used in this section:
(1) The term “customs broker” means any person granted a customs broker’s license by
the Secretary under subsection (b) of this section.
(2) The term “customs business” means those activities involving transactions with the
Customs Service concerning the entry and admissibility of merchandise, its
classification and valuation, the payment of duties, taxes, or other charges assessed or
collected by the Customs Service upon merchandise by reason of its importation, or the
refund, rebate, or drawback thereof. It also includes the preparation of documents or
forms in any format and the electronic transmission of documents, invoices, bills, or
parts thereof, intended to be filed with the Customs Service in furtherance of such
activities, whether or not signed or filed by the preparer, or activities relating to such
preparation, but does not include the mere electronic transmission of data received for
transmission to Customs.
(3) The term “Secretary” means the Secretary of the Treasury.
(b) Customs broker’s licenses
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(1) In general
No person may conduct customs business (other than solely on behalf of that person)
unless that person holds a valid customs broker’s license issued by the Secretary under
paragraph (2) or (3).
(2) Licenses for individuals
The Secretary may grant an individual a customs broker’s license only if that individual
is a citizen of the United States. Before granting the license, the Secretary may require
an applicant to show any facts deemed necessary to establish that the applicant is of
good moral character and qualified to render valuable service to others in the conduct
of customs business. In assessing the qualifications of an applicant, the Secretary may
conduct an examination to determine the applicant’s knowledge of customs and related
laws, regulations and procedures, bookkeeping, accounting, and all other appropriate
matters.
…
(d) Disciplinary proceedings
(1) General rule
The Secretary may impose a monetary penalty in all cases with the exception of the
infractions described in clause (iii) of subparagraph (B) of this subsection, or revoke or
suspend a license or permit of any customs broker, if it is shown that the broker—
…
(B) has been convicted at any time after the filing of an application for license under
subsection (b) of this section of any felony or misdemeanor which the Secretary
finds—
(i) involved the importation or exportation of merchandise;
(ii) arose out of the conduct of its customs business; or
(iii) involved larceny, theft, robbery, extortion, forgery, counterfeiting, fraudulent
concealment, embezzlement, fraudulent conversion, or misappropriation of funds;
…
(E) has knowingly employed, or continues to employ, any person who has been
convicted of a felony, without written approval of such employment from the
Secretary; or
(2) Procedures
(A) Monetary penalty
Unless action has been taken under subparagraph (B), the appropriate customs officer
shall serve notice in writing upon any customs broker to show cause why the broker
should not be subject to a monetary penalty not to exceed $30,000 in total for a
violation or violations of this section. The notice shall advise the customs broker of
the allegations or complaints against him and shall explain that the broker has a right
to respond to the allegations or complaints in writing within 30 days of the date of the
notice. Before imposing a monetary penalty, the customs officer shall consider the
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allegations or complaints and any timely response made by the customs broker and
issue a written decision. A customs broker against whom a monetary penalty has been
issued under this section shall have a reasonable opportunity under section 1618 of
this title to make representations seeking remission or mitigation of the monetary
penalty. Following the conclusion of any proceeding under section 1618 of this title,
the appropriate customs officer shall provide to the customs broker a written
statement which sets forth the final determination and the findings of fact and
conclusions of law on which such determination is based.
(B) Revocation or suspension
The Customs Service may, for good and sufficient reason, serve notice in writing
upon any customs broker to show cause why a license or permit issued under this
section should not be revoked or suspended. The notice shall be in the form of a
statement specifically setting forth the grounds of the complaint, and shall allow the
customs broker 30 days to respond. If no response is filed, or the Customs Service
determines that the revocation or suspension is still warranted, it shall notify the
customs broker in writing of a hearing to be held within 30 days, or at a later date if
the broker requests an extension and shows good cause therefor, before an
administrative law judge appointed pursuant to section 3105 of Title 5 who shall
serve as the hearing officer. If the customs broker waives the hearing, or the broker or
his designated representative fails to appear at the appointed time and place, the
hearing officer shall make findings and recommendations based on the record
submitted by the parties. At the hearing, the customs broker may be represented by
counsel, and all proceedings, including the proof of the charges and the response
thereto shall be presented with testimony taken under oath and the right of crossexamination accorded to both parties. A transcript of the hearing shall be made and a
copy will be provided to the Customs Service and the customs broker; which shall
thereafter be provided reasonable opportunity to file a post-hearing brief. Following
the conclusion of the hearing, the hearing officer shall transmit promptly the record of
the hearing along with the findings of fact and recommendations to the Secretary for
decision. The Secretary will issue a written decision, based solely on the record,
setting forth the findings of fact and the reasons for the decision. Such decision may
provide for the sanction contained in the notice to show cause or any lesser sanction
authorized by this subsection, including a monetary penalty not to exceed $30,000,
than was contained in the notice to show cause.
(3) Settlement and compromise
The Secretary may settle and compromise any disciplinary proceeding which has been
instituted under this subsection according to the terms and conditions agreed to by the
parties, including but not limited to the reduction of any proposed suspension or
revocation to a monetary penalty.
(4) Limitation of actions
Notwithstanding section 1621 of this title, no proceeding under this subsection or
subsection (b)(6) of this section shall be commenced unless such proceeding is
instituted by the appropriate service of written notice within 5 years from the date the
alleged violation was committed; except that if the alleged violation consists of fraud,
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the 5-year period of limitation shall commence running from the time such alleged
violation was discovered.
(e) Judicial appeal
(1) In general
A customs broker, applicant, or other person directly affected may appeal any decision
of the Secretary denying or revoking a license or permit under subsection (b) or (c) of
this section, or revoking or suspending a license or permit or imposing a monetary
penalty in lieu thereof under subsection (d)(2)(B) of this section, by filing in the Court
of International Trade, within 60 days after the issuance of the decision or order, a
written petition requesting that the decision or order be modified or set aside in whole
or in part. A copy of the petition shall be transmitted promptly by the clerk of the court
to the Secretary or his designee. In cases involving revocation or suspension of a
license or permit or imposition of a monetary penalty in lieu thereof under subsection
(d)(2)(B) of this section, after receipt of the petition, the Secretary shall file in court the
record upon which the decision or order complained of was entered, as provided in
section 2635(d) of Title 28.
…
20 U.S.C. 1091 – Student eligibility
…
(r) Suspension of eligibility for drug-related offenses
(1) In general
A student who is convicted of any offense under any Federal or State law involving the
possession or sale of a controlled substance for conduct that occurred during a period of
enrollment for which the student was receiving any grant, loan, or work assistance
under this subchapter and part C of subchapter I of chapter 34 of Title 42 shall not be
eligible to receive any grant, loan, or work assistance under this subchapter and part C
of subchapter I of chapter 34 of Title 42 from the date of that conviction for the period
of time specified in the following table:
If convicted of an offense involving:
The possession of a controlled
substance:
First offense
Second offense
Third offense

Ineligibility period is:
1 year
2 years
Indefinite.

The sale of a controlled substance:
First offense
Second offense

Ineligibility period is:
2 years
Indefinite.
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(2) Rehabilitation
A student whose eligibility has been suspended under paragraph (1) may resume
eligibility before the end of the ineligibility period determined under such paragraph if—
(A) the student satisfactorily completes a drug rehabilitation program that—
(i) complies with such criteria as the Secretary shall prescribe in regulations for
purposes of this paragraph; and
(ii) includes two unannounced drug tests; or
(B) the conviction is reversed, set aside, or otherwise rendered nugatory.
(3) Definitions
In this subsection, the term “controlled substance” has the meaning given the term in
section 802(6) of Title 21.
20 U.S.C. 7115 – Authorized activities
…
(b) Local educational agency activities
…
(2) Authorized activities
Each local educational agency, or consortium of such agencies, that receives a subgrant
under this subpart may use such funds to carry out activities that comply with the
principles of effectiveness described in subsection (a) of this section, such as the
following:
…
(E) Drug and violence prevention activities that may include the following:
…
(xx) Conducting a nationwide background check of each local educational agency
employee, regardless of when hired, and prospective employees for the purpose of
determining whether the employee or prospective employee has been convicted of a
crime that bears upon the employee’s fitness—
(I) to be responsible for the safety or well-being of children;
(II) to serve in the particular capacity in which the employee or prospective
employee is or will be employed; or
(III) to otherwise be employed by the local educational agency.
21 U.S.C. 335a - Debarment, temporary denial of approval, and suspension
(a) Mandatory debarment; certain drug applications
…
(2) Individuals
If the Secretary finds that an individual has been convicted of a felony under Federal
law for conduct—
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(A) relating to the development or approval, including the process for development or
approval, of any drug product, or
(B) otherwise relating to the regulation of any drug product under this chapter,
the Secretary shall debar such individual from providing services in any capacity to a
person that has an approved or pending drug product application.
(b) Permissive debarment; certain drug applications; food imports
(1) In general
The Secretary, on the Secretary’s own initiative or in response to a petition, may, in
accordance with paragraph (2), debar—
…
(B) an individual from providing services in any capacity to a person that has an
approved or pending drug product application, or
…
(2) Persons subject to permissive debarment; certain drug applications
The following persons are subject to debarment under subparagraph (A) or (B) of
paragraph (1):
…
(B) Individuals
(i) Any individual whom the Secretary finds has been convicted of—
(I) a misdemeanor under Federal law or a felony under State law for conduct
relating to the development or approval, including the process for development or
approval, of any drug product or otherwise relating to the regulation of drug
products under this chapter, or
(II) a conspiracy to commit, or aiding or abetting, such criminal offense or a
felony described in subsection (a)(2) of this section,
if the Secretary finds that the type of conduct which served as the basis for such
conviction undermines the process for the regulation of drugs.
(ii) Any individual whom the Secretary finds has been convicted of—
(I) a felony which is not described in subsection (a)(2) of this section or clause (i)
of this subparagraph and which involves bribery, payment of illegal gratuities,
fraud, perjury, false statement, racketeering, blackmail, extortion, falsification or
destruction of records, or interference with, obstruction of an investigation into, or
prosecution of, any criminal offense, or
(II) a conspiracy to commit, or aiding or abetting, such felony,
if the Secretary finds, on the basis of the conviction of such individual and other
information, that such individual has demonstrated a pattern of conduct sufficient
to find that there is reason to believe that such individual may violate
requirements under this chapter relating to drug products.
(iii) Any individual whom the Secretary finds materially participated in acts that
were the basis for a conviction for an offense described in subsection (a) of this
section or in clause (i) or (ii) for which a conviction was obtained, if the Secretary
finds, on the basis of such participation and other information, that such individual
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has demonstrated a pattern of conduct sufficient to find that there is reason to
believe that such individual may violate requirements under this chapter relating to
drug products.
(iv) Any high managerial agent whom the Secretary finds—
(I) worked for, or worked as a consultant for, the same person as another
individual during the period in which such other individual took actions for which
a felony conviction was obtained and which resulted in the debarment under
subsection (a)(2) of this section, or clause (i), of such other individual,
(II) had actual knowledge of the actions described in subclause (I) of such other
individual, or took action to avoid such actual knowledge, or failed to take action
for the purpose of avoiding such actual knowledge,
(III) knew that the actions described in subclause (I) were violative of law, and
(IV) did not report such actions, or did not cause such actions to be reported, to an
officer, employee, or agent of the Department or to an appropriate law
enforcement officer, or failed to take other appropriate action that would have
ensured that the process for the regulation of drugs was not undermined, within a
reasonable time after such agent first knew of such actions, if the Secretary finds
that the type of conduct which served as the basis for such other individual’s
conviction undermines the process for the regulation of drugs.
(3) Persons subject to permissive debarment; food importation
A person is subject to debarment under paragraph (1)(c) if—
(A) the person has been convicted of a felony for conduct relating to the importation
into the United States of any food; or
(B) the person has engaged in a pattern of importing or offering for import adulterated
food that presents a threat of serious adverse health consequences or death to humans
or animals.
(4) Stay of certain orders
An order of the Secretary under clause (iii) or (iv) of paragraph (2)(B) shall not take
effect until 30 days after the order has been issued.
(c) Debarment period and considerations
(1) Effect of debarment
The Secretary—
(A) shall not accept or review (other than in connection with an audit under this
section) any abbreviated drug application submitted by or with the assistance of a
person debarred under subsection (a)(1) or (b)(2)(A) of this section during the period
such person is debarred,
(B) shall, during the period of a debarment under subsection (a)(2) or (b)(2)(B) of this
section, debar an individual from providing services in any capacity to a person that
has an approved or pending drug product application and shall not accept or review
(other than in connection with an audit under this section) an abbreviated drug
application from such individual, and

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(C) shall, if the Secretary makes the finding described in paragraph (6) or (7) of
section 335b(a) of this title, assess a civil penalty in accordance with section 335b of
this title.
(2) Debarment periods
(A) In general
The Secretary shall debar a person under subsection (a) or (b) of this section for the
following periods:
(i) The period of debarment of a person (other than an individual) under subsection
(a)(1) of this section shall not be less than 1 year or more than 10 years, but if an act
leading to a subsequent debarment under subsection (a) of this section occurs within
10 years after such person has been debarred under subsection (a)(1) of this section,
the period of debarment shall be permanent.
(ii) The debarment of an individual under subsection (a)(2) of this section shall be
permanent.
(iii) The period of debarment of any person under paragraph (2) or (3) of subsection
(b) of this section shall not be more than 5 years.
The Secretary may determine whether debarment periods shall run concurrently or
consecutively in the case of a person debarred for multiple offenses.
(B) Notification
Upon a conviction for an offense described in subsection (a) or (b) of this section or
upon execution of an agreement with the United States to plead guilty to such an
offense, the person involved may notify the Secretary that the person acquiesces to
debarment and such person’s debarment shall commence upon such notification.
(3) Considerations
In determining the appropriateness and the period of a debarment of a person under
subsection (b) of this section and any period of debarment beyond the minimum
specified in subparagraph (A)(i) of paragraph (2), the Secretary shall consider where
applicable—
(A) the nature and seriousness of any offense involved,
(B) the nature and extent of management participation in any offense involved,
whether corporate policies and practices encouraged the offense, including whether
inadequate institutional controls contributed to the offense,
(C) the nature and extent of voluntary steps to mitigate the impact on the public of
any offense involved, including the recall or the discontinuation of the distribution of
suspect drugs, full cooperation with any investigations (including the extent of
disclosure to appropriate authorities of all wrongdoing), the relinquishing of profits
on drug approvals fraudulently obtained, and any other actions taken to substantially
limit potential or actual adverse effects on the public health,
(D) whether the extent to which changes in ownership, management, or operations
have corrected the causes of any offense involved and provide reasonable assurances
that the offense will not occur in the future,
(E) whether the person to be debarred is able to present adequate evidence that
current production of drugs subject to abbreviated drug applications and all pending
abbreviated drug applications are free of fraud or material false statements, and
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(F) prior convictions under this chapter or under other Acts involving matters within
the jurisdiction of the Food and Drug Administration.
(d) Termination of debarment
(1) Application
Any person that is debarred under subsection (a) of this section (other than a person
permanently debarred) or any person that is debarred under subsection (b) of this
section may apply to the Secretary for termination of the debarment under this
subsection. Any information submitted to the Secretary under this paragraph does not
constitute an amendment or supplement to pending or approved abbreviated drug
applications.
(2) Deadline
The Secretary shall grant or deny any application respecting a debarment which is
submitted under paragraph (1) within 180 days of the date the application is submitted.
(3) Action by the Secretary
…
(B) Individuals
(i) Conviction reversal
If the conviction which served as the basis for the debarment of an individual under
subsection (a)(2) of this section or clause (i), (ii), (iii), or (iv) of subsection
(b)(2)(B) or subsection (b)(3) of this section is reversed, the Secretary shall
withdraw the order of debarment.
(ii) Application
Upon application submitted under paragraph (1), the Secretary shall terminate the
debarment of an individual who has been debarred under subsection (b)(2)(B) or
subsection (b)(3) of this section if such termination serves the interests of justice
and adequately protects the integrity of the drug approval process or the food
importation process, as the case may be.
(4) Special termination
(A) Application
Any person that is debarred under subsection (a)(1) of this section (other than a
person permanently debarred under subsection (c)(2)(A)(i) of this section) or any
individual who is debarred under subsection (a)(2) of this section may apply to the
Secretary for special termination of debarment under this subsection. Any
information submitted to the Secretary under this subparagraph does not constitute an
amendment or supplement to pending or approved abbreviated drug applications.
…
(C) Individuals
Upon an application submitted under subparagraph (A), the Secretary may take the
action described in subparagraph (D) if the Secretary, after an informal hearing, finds
that such individual has provided substantial assistance in the investigations or
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prosecutions of offenses which are described in subsection (a) or (b) of this section or
which relate to any matter under the jurisdiction of the Food and Drug
Administration.
(D) Secretarial action
The action referred to in subparagraphs (B) and (C) is—
(i) in the case of a person other than an individual—
(I) terminating the debarment immediately, or
(II) limiting the period of debarment to less than one year, and
(ii) in the case of an individual, limiting the period of debarment to less than
permanent but to no less than 1 year,
whichever best serves the interest of justice and protects the integrity of the drug
approval process.
(e) Publication and list of debarred persons
The Secretary shall publish in the Federal Register the name of any person debarred
under subsection (a) or (b) of this section, the effective date of the debarment, and the
period of the debarment. The Secretary shall also maintain and make available to the
public a list, updated no less often than quarterly, of such persons, of the effective dates
and minimum periods of such debarments, and of the termination of debarments.
(f) Temporary denial of approval
(1) In general
The Secretary, on the Secretary’s own initiative or in response to a petition, may, in
accordance with paragraph (3), refuse by order, for the period prescribed by paragraph
(2), to approve any abbreviated drug application submitted by any person—
(A) if such person is under an active Federal criminal investigation in connection with
an action described in subparagraph (B),
(B) if the Secretary finds that such person—
(i) has bribed or attempted to bribe, has paid or attempted to pay an illegal gratuity,
or has induced or attempted to induce another person to bribe or pay an illegal
gratuity to any officer, employee, or agent of the Department of Health and Human
Services or to any other Federal, State, or local official in connection with any
abbreviated drug application, or has conspired to commit, or aided or abetted, such
actions, or
(ii) has knowingly made or caused to be made a pattern or practice of false
statements or misrepresentations with respect to material facts relating to any
abbreviated drug application, or the production of any drug subject to an
abbreviated drug application, to any officer, employee, or agent of the Department
of Health and Human Services, or has conspired to commit, or aided or abetted,
such actions, and
(C) if a significant question has been raised regarding—
(i) the integrity of the approval process with respect to such abbreviated drug
application, or

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(ii) the reliability of data in or concerning such person’s abbreviated drug
application.
Such an order may be modified or terminated at any time.
(2) Applicable period
(A) In general
Except as provided in subparagraph (B), a denial of approval of an application of a
person under paragraph (1) shall be in effect for a period determined by the Secretary
but not to exceed 18 months beginning on the date the Secretary finds that the
conditions described in subparagraphs (A), (B), and (C) of paragraph (1) exist. The
Secretary shall terminate such denial—
(i) if the investigation with respect to which the finding was made does not result in
a criminal charge against such person, if criminal charges have been brought and
the charges have been dismissed, or if a judgment of acquittal has been entered, or
(ii) if the Secretary determines that such finding was in error.
(B) Extension
If, at the end of the period described in subparagraph (A), the Secretary determines
that a person has been criminally charged for an action described in subparagraph (B)
of paragraph (1), the Secretary may extend the period of denial of approval of an
application for a period not to exceed 18 months. The Secretary shall terminate such
extension if the charges have been dismissed, if a judgment of acquittal has been
entered, or if the Secretary determines that the finding described in subparagraph (A)
was in error.
(3) Informal hearing
Within 10 days of the date an order is issued under paragraph (1), the Secretary shall
provide such person with an opportunity for an informal hearing, to be held within such
10 days, on the decision of the Secretary to refuse approval of an abbreviated drug
application. Within 60 days of the date on which such hearing is held, the Secretary
shall notify the person given such hearing whether the Secretary’s refusal of approval
will be continued, terminated, or otherwise modified. Such notification shall be final
agency action.
(g) Suspension authority
(1) In general
If—
(A) the Secretary finds—
(i) that a person has engaged in conduct described in subparagraph (B) of
subsection (f)(1) of this section in connection with 2 or more drugs under
abbreviated drug applications, or
(ii) that a person has engaged in flagrant and repeated, material violations of good
manufacturing practice or good laboratory practice in connection with the
development, manufacturing, or distribution of one or more drugs approved under
an abbreviated drug application during a 2-year period, and—
(I) such violations may undermine the safety and efficacy of such drugs, and
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(II) the causes of such violations have not been corrected within a reasonable
period of time following notice of such violations by the Secretary, and
(B) such person is under an active investigation by a Federal authority in connection
with a civil or criminal action involving conduct described in subparagraph (A),
the Secretary shall issue an order suspending the distribution of all drugs the
development or approval of which was related to such conduct described in
subparagraph (A) or suspending the distribution of all drugs approved under
abbreviated drug applications of such person if the Secretary finds that such conduct
may have affected the development or approval of a significant number of drugs
which the Secretary is unable to identify. The Secretary shall exclude a drug from
such order if the Secretary determines that such conduct was not likely to have
influenced the safety or efficacy of such drug.
(2) Public health waiver
The Secretary shall, on the Secretary’s own initiative or in response to a petition, waive
the suspension under paragraph (1) (involving an action described in paragraph
(1)(A)(i)) with respect to any drug if the Secretary finds that such waiver is necessary to
protect the public health because sufficient quantities of the drug would not otherwise
be available. The Secretary shall act on any petition seeking action under this paragraph
within 180 days of the date the petition is submitted to the Secretary.
(h) Termination of suspension
The Secretary shall withdraw an order of suspension of the distribution of a drug under
subsection (g) of this section if the person with respect to whom the order was issued
demonstrates in a petition to the Secretary—
(1)(A) on the basis of an audit by the Food and Drug Administration or by experts
acceptable to the Food and Drug Administration, or on the basis of other information,
that the development, approval, manufacturing, and distribution of such drug is in
substantial compliance with the applicable requirements of this chapter, and
(B) changes in ownership, management, or operations—
(i) fully remedy the patterns or practices with respect to which the order was issued,
and
(ii) provide reasonable assurances that such actions will not occur in the future, or
(2) the initial determination was in error.
The Secretary shall act on a submission of a petition under this subsection within 180
days of the date of its submission and the Secretary may consider the petition
concurrently with the suspension proceeding. Any information submitted to the
Secretary under this subsection does not constitute an amendment or supplement to a
pending or approved abbreviated drug application.
(i) Procedure
The Secretary may not take any action under subsection (a), (b), (c), (d)(3), (g), or (h) of
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this section with respect to any person unless the Secretary has issued an order for such
action made on the record after opportunity for an agency hearing on disputed issues of
material fact. In the course of any investigation or hearing under this subsection, the
Secretary may administer oaths and affirmations, examine witnesses, receive evidence,
and issue subpoenas requiring the attendance and testimony of witnesses and the
production of evidence that relates to the matter under investigation.
(j) Judicial review
(1) In general
Except as provided in paragraph (2), any person that is the subject of an adverse
decision under subsection (a), (b), (c), (d), (f), (g), or (h) of this section may obtain a
review of such decision by the United States Court of Appeals for the District of
Columbia or for the circuit in which the person resides, by filing in such court (within
60 days following the date the person is notified of the Secretary’s decision) a petition
requesting that the decision be modified or set aside.
(2) Exception
Any person that is the subject of an adverse decision under clause (iii) or (iv) of
subsection (b)(2)(B) of this section may obtain a review of such decision by the United
States District Court for the District of Columbia or a district court of the United States
for the district in which the person resides, by filing in such court (within 30 days
following the date the person is notified of the Secretary’s decision) a complaint
requesting that the decision be modified or set aside. In such an action, the court shall
determine the matter de novo.
(k) Certification
Any application for approval of a drug product shall include—
(1) a certification that the applicant did not and will not use in any capacity the services
of any person debarred under subsection (a) or (b) of this section, in connection with
such application, and
(2) if such application is an abbreviated drug application, a list of all convictions,
described in subsections (a) and (b) of this section which occurred within the previous 5
years, of the applicant and affiliated persons responsible for the development or
submission of such application.
(l) Applicability
(1) Conviction
For purposes of this section, a person is considered to have been convicted of a criminal
offense—
(A) when a judgment of conviction has been entered against the person by a Federal
or State court, regardless of whether there is an appeal pending,
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(B) when a plea of guilty or nolo contendere by the person has been accepted by a
Federal or State court, or
(C) when the person has entered into participation in a first offender, deferred
adjudication, or other similar arrangement or program where judgment of conviction
has been withheld.
(2) Effective dates
Subsection (a) of this section, subparagraph (A) of subsection (b)(2) of this section,
clauses (i) and (ii) of subsection (b)(2)(B) of this section, and subsection (b)(3)(A) of
this section shall not apply to a conviction which occurred more than 5 years before the
initiation of an agency action proposed to be taken under subsection (a) or (b) of this
section. Clauses (iii) and (iv) of subsection (b)(2)(B) of this section, subsection
(b)(3)(B) of this section, and subsections (f) and (g) of this section shall not apply to an
act or action which occurred more than 5 years before the initiation of an agency action
proposed to be taken under subsection (b), (f), or (g) of this section. Clause (iv) of
subsection (b)(2)(B) of this section shall not apply to an action which occurred before
June 1, 1992. Subsection (k) of this section shall not apply to applications submitted to
the Secretary before June 1, 1992.
(m) Devices; mandatory debarment regarding third-party inspections and reviews
(1) In general
If the Secretary finds that a person has been convicted of a felony under section 331(gg)
of this title, the Secretary shall debar such person from being accredited under section
360m(b) or 374(g)(2) of this title and from carrying out activities under an agreement
described in section 383(b) of this title.
(2) Debarment period
The Secretary shall debar a person under paragraph (1) for the following periods:
(A) The period of debarment of a person (other than an individual) shall not be less
than 1 year or more than 10 years, but if an act leading to a subsequent debarment
under such paragraph occurs within 10 years after such person has been debarred
under such paragraph, the period of debarment shall be permanent.
(B) The debarment of an individual shall be permanent.
(3) Termination of debarment; judicial review; other matters
Subsections (c)(3), (d), (e), (i), (j), and (l)(1) of this section apply with respect to a
person (other than an individual) or an individual who is debarred under paragraph (1)
to the same extent and in the same manner as such subsections apply with respect to a
person who is debarred under subsection (a)(1) of this section, or an individual who is
debarred under subsection (a)(2) of this section, respectively.

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21 U.S.C. 823 – Registration requirements
(a) Manufacturers of controlled substances in schedule I or II
The Attorney General shall register an applicant to manufacture controlled substances in
schedule I or II if he determines that such registration is consistent with the public
interest and with United States obligations under international treaties, conventions, or
protocols in effect on May 1, 1971. In determining the public interest, the following
factors shall be considered:
…
(4) prior conviction record of applicant under Federal and State laws relating to the
manufacture, distribution, or dispensing of such substances;
(b) Distributors of controlled substances in schedule I or II
The Attorney General shall register an applicant to distribute a controlled substance in
schedule I or II unless he determines that the issuance of such registration is inconsistent
with the public interest. In determining the public interest, the following factors shall be
considered:
…
(3) prior conviction record of applicant under Federal or State laws relating to the
manufacture, distribution, or dispensing of such substances;
…
(d) Manufacturers of controlled substances in schedule III, IV, or V
The Attorney General shall register an applicant to manufacture controlled substances in
schedule III, IV, or V, unless he determines that the issuance of such registration is
inconsistent with the public interest. In determining the public interest, the following
factors shall be considered:
…
(4) prior conviction record of applicant under Federal or State laws relating to the
manufacture, distribution, or dispensing of such substances;
…
(e) Distributors of controlled substances in schedule III, IV, or V
The Attorney General shall register an applicant to distribute controlled substances in
schedule III, IV, or V, unless he determines that the issuance of such registration is
inconsistent with the public interest. In determining the public interest, the following
factors shall be considered:
…
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(3) prior conviction record of applicant under Federal or State laws relating to the
manufacture, distribution, or dispensing of such substances;
…
(f) Research by practitioners; pharmacies; research applications; construction of Article 7
of the Convention on Psychotropic Substances
The Attorney General shall register practitioners (including pharmacies, as distinguished
from pharmacists) to dispense, or conduct research with, controlled substances in
schedule II, III, IV, or V, if the applicant is authorized to dispense, or conduct research
with respect to, controlled substances under the laws of the State in which he practices.
The Attorney General may deny an application for such registration if he determines that
the issuance of such registration would be inconsistent with the public interest. In
determining the public interest, the following factors shall be considered:
…
(3) The applicant’s conviction record under Federal or State laws relating to the
manufacture, distribution, or dispensing of controlled substances.
…
Separate registration under this part for practitioners engaging in research with controlled
substances in schedule II, III, IV, or V, who are already registered under this part in
another capacity, shall not be required. Registration applications by practitioners wishing
to conduct research with controlled substances in schedule I shall be referred to the
Secretary, who shall determine the qualifications and competency of each practitioner
requesting registration, as well as the merits of the research protocol. The Secretary, in
determining the merits of each research protocol, shall consult with the Attorney General
as to effective procedures to adequately safeguard against diversion of such controlled
substances from legitimate medical or scientific use. Registration for the purpose of bona
fide research with controlled substances in schedule I by a practitioner deemed qualified
by the Secretary may be denied by the Attorney General only on a ground specified in
section 824(a) of this title. Article 7 of the Convention on Psychotropic Substances shall
not be construed to prohibit, or impose additional restrictions upon, research involving
drugs or other substances scheduled under the convention which is conducted in
conformity with this subsection and other applicable provisions of this subchapter.
…
(h) Applicants for distribution of list I chemicals
The Attorney General shall register an applicant to distribute a list I chemical unless the
Attorney General determines that registration of the applicant is inconsistent with the
public interest. Registration under this subsection shall not be required for the distribution
of a drug product that is exempted under clause (iv) or (v) of section 802(39)(A) of this

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title. In determining the public interest for the purposes of this subsection, the Attorney
General shall consider—
…
(3) any prior conviction record of the applicant under Federal or State laws relating to
controlled substances or to chemicals controlled under Federal or State law;
21 U.S.C. 862 – Denial of Federal benefits to drug traffickers and possessors
(a) Drug traffickers
(1) Any individual who is convicted of any Federal or State offense consisting of the
distribution of controlled substances shall—
(A) at the discretion of the court, upon the first conviction for such an offense be
ineligible for any or all Federal benefits for up to 5 years after such conviction;
(B) at the discretion of the court, upon a second conviction for such an offense be
ineligible for any or all Federal benefits for up to 10 years after such conviction; and
(C) upon a third or subsequent conviction for such an offense be permanently
ineligible for all Federal benefits.
(2) The benefits which are denied under this subsection shall not include benefits
relating to long-term drug treatment programs for addiction for any person who, if there
is a reasonable body of evidence to substantiate such declaration, declares himself to be
an addict and submits himself to a long-term treatment program for addiction, or is
deemed to be rehabilitated pursuant to rules established by the Secretary of Health and
Human Services.
(b) Drug possessors
(1) Any individual who is convicted of any Federal or State offense involving the
possession of a controlled substance (as such term is defined for purposes of this
subchapter) shall—
(A) upon the first conviction for such an offense and at the discretion of the court—
(i) be ineligible for any or all Federal benefits for up to one year;
(ii) be required to successfully complete an approved drug treatment program which
includes periodic testing to insure that the individual remains drug free;
(iii) be required to perform appropriate community service; or
(iv) any combination of clause (i), (ii), or (iii); and
(B) upon a second or subsequent conviction for such an offense be ineligible for all
Federal benefits for up to 5 years after such conviction as determined by the court.
The court shall continue to have the discretion in subparagraph (A) above. In
imposing penalties and conditions under subparagraph (A), the court may require that
the completion of the conditions imposed by clause (ii) or (iii) be a requirement for
the reinstatement of benefits under clause (i).

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(2) The penalties and conditions which may be imposed under this subsection shall be
waived in the case of a person who, if there is a reasonable body of evidence to
substantiate such declaration, declares himself to be an addict and submits himself to a
long-term treatment program for addiction, or is deemed to be rehabilitated pursuant to
rules established by the Secretary of Health and Human Services.
(c) Suspension of period of ineligibility
The period of ineligibility referred to in subsections (a) and (b) of this section shall be
suspended if the individual—
(A) completes a supervised drug rehabilitation program after becoming ineligible
under this section;
(B) has otherwise been rehabilitated; or
(C) has made a good faith effort to gain admission to a supervised drug rehabilitation
program, but is unable to do so because of inaccessibility or unavailability of such a
program, or the inability of the individual to pay for such a program.
(d) Definitions
As used in this section—
(1) the term “Federal benefit”—
(A) means the issuance of any grant, contract, loan, professional license, or
commercial license provided by an agency of the United States or by appropriated
funds of the United States; and
(B) does not include any retirement, welfare, Social Security, health, disability,
veterans benefit, public housing, or other similar benefit, or any other benefit for
which payments or services are required for eligibility; and
(2) the term “veterans benefit” means all benefits provided to veterans, their families, or
survivors by virtue of the service of a veteran in the Armed Forces of the United States.
(e) Inapplicability of this section to Government witnesses
The penalties provided by this section shall not apply to any individual who cooperates or
testifies with the Government in the prosecution of a Federal or State offense or who is in
a Government witness protection program.
…
21 U.S.C. 862a – Denial of assistance and benefits for certain drug-related
convictions
(a) In general
An individual convicted (under Federal or State law) of any offense which is classified as
a felony by the law of the jurisdiction involved and which has as an element the
possession, use, or distribution of a controlled substance (as defined in section 802(6) of
this title) shall not be eligible for—
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(1) assistance under any State program funded under part A of title IV of the Social
Security Act, or
(2) benefits under the food stamp program (as defined in section 3(h) of the Food
Stamp Act of 1977) or any State program carried out under the Food Stamp Act of
1977.
(b) Effects on assistance and benefits for others
(1) Program of temporary assistance for needy families
The amount of assistance otherwise required to be provided under a State program
funded under part A of title IV of the Social Security Act to the family members of an
individual to whom subsection (a) of this section applies shall be reduced by the
amount which would have otherwise been made available to the individual under such
part.
(2) Benefits under the Food Stamp Act of 1977
The amount of benefits otherwise required to be provided to a household under the food
stamp program (as defined in section 3(h) of the Food Stamp Act of 1977), or any State
program carried out under the Food Stamp Act of 1977, shall be determined by
considering the individual to whom subsection (a) of this section applies not to be a
member of such household, except that the income and resources of the individual shall
be considered to be income and resources of the household.
(c) Enforcement
A State that has not exercised its authority under subsection (d)(1)(A) of this section shall
require each individual applying for assistance or benefits referred to in subsection (a) of
this section, during the application process, to state, in writing, whether the individual, or
any member of the household of the individual, has been convicted of a crime described
in subsection (a) of this section.
(d) Limitations
(1) State elections
(A) Opt out
A State may, by specific reference in a law enacted after August 22, 1996, exempt
any or all individuals domiciled in the State from the application of subsection (a) of
this section.
(B) Limit period of prohibition
A State may, by law enacted after August 22, 1996, limit the period for which
subsection (a) of this section shall apply to any or all individuals domiciled in the
State.
(2) Inapplicability to a conviction if the conviction is for conduct occurring on or before
August 22, 1996
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Subsection (a) of this section shall not apply to a conviction if the conviction is for
conduct occurring on or before August 22, 1996.
(e) “State” defined
For purposes of this section, the term “State” has the meaning given it—
(1) in section 419(5) of the Social Security Act, when referring to assistance provided
under a State program funded under part A of title IV of the Social Security Act, and
(2) in section 3(m) of the Food Stamp Act of 1977, when referring to the food stamp
program (as defined in section 3(h) of the Food Stamp Act of 1977) or any State
program carried out under the Food Stamp Act of 1977.
(f) Rule of interpretation
Nothing in this section shall be construed to deny the following Federal benefits:
(1) Emergency medical services under title XIX of the Social Security Act.
(2) Short-term, noncash, in-kind emergency disaster relief.
(3)(A) Public health assistance for immunizations
(B) Public health assistance for testing and treatment of communicable diseases if the
Secretary of Health and Human Services determines that it is necessary to prevent the
spread of such disease.
(4) Prenatal care.
(5) Job training programs.
(6) Drug treatment programs.
22 U.S.C. 2778 – Control of arms exports and imports
(a) Presidential control of exports and imports of defense articles and services, guidance
of policy, etc.; designation of United States Munitions List; issuance of export licenses;
negotiations information
…
(b) Registration and licensing requirements for manufacturers, exporters, or importers of
designated defense articles and defense services
(1)(A)(i) As prescribed in regulations issued under this section, every person (other
than an officer or employee of the United States Government acting in an official
capacity) who engages in the business of manufacturing, exporting, or importing any
defense articles or defense services designated by the President under subsection (a)(1)
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of this section shall register with the United States Government agency charged with
the administration of this section, and shall pay a registration fee which shall be
prescribed by such regulations. Such regulations shall prohibit the return to the United
States for sale in the United States (other than for the Armed Forces of the United
States and its allies or for any State or local law enforcement agency) of any military
firearms or ammunition of United States manufacture furnished to foreign governments
by the United States under this chapter or any other foreign assistance or sales program
of the United States, whether or not enhanced in value or improved in condition in a
foreign country. This prohibition shall not extend to similar firearms that have been so
substantially transformed as to become, in effect, articles of foreign manufacture.
(ii)(I) As prescribed in regulations issued under this section, every person (other
than an officer or employee of the United States Government acting in official
capacity) who engages in the business of brokering activities with respect to the
manufacture, export, import, or transfer of any defense article or defense service
designated by the President under subsection (a)(1) of this section, or in the
business of brokering activities with respect to the manufacture, export, import, or
transfer of any foreign defense article or defense service (as defined in subclause
(IV)), shall register with the United States Government agency charged with the
administration of this section, and shall pay a registration fee which shall be
prescribed by such regulations.
(II) Such brokering activities shall include the financing, transportation, freight
forwarding, or taking of any other action that facilitates the manufacture, export,
or import of a defense article or defense service.
(III) No person may engage in the business of brokering activities described in
subclause (I) without a license, issued in accordance with this chapter, except that
no license shall be required for such activities undertaken by or for an agency of
the United States Government—
(aa) for use by an agency of the United States Government; or
(bb) for carrying out any foreign assistance or sales program authorized by law
and subject to the control of the President by other means.
…
(g) Identification of persons convicted or subject to indictment for violations of certain
provisions
(1) The President shall develop appropriate mechanisms to identify, in connection with
the export licensing process under this section—
(A) persons who are the subject of an indictment for, or have been convicted of, a
violation under—
(i) this section,
(ii) section 11 of the Export Administration Act of 1979 (50 U.S.C. App. 2410),
(iii) section 793, 794, or 798 of Title 18 (relating to espionage involving defense or
classified information) or section 2339A of such title (relating to providing material
support to terrorists),
(iv) section 16 of the Trading with the Enemy Act (50 U.S.C. App. 16),

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(v) section 206 of the International Emergency Economic Powers Act (relating to
foreign assets controls; 50 U.S.C. App. 1705) [50 U.S.C.A. § 1705],
(vi) section 30A of the Securities Exchange Act of 1934 (15 U.S.C. 78dd-1) or
section 104 of the Foreign Corrupt Practices Act (15 U.S.C. 78dd-2),
(vii) chapter 105 of Title 18 (relating to sabotage),
(viii) section 4(b) of the Internal Security Act of 1950 (relating to communication of
classified information; 50 U.S.C. 783(b)),
(ix) section 57, 92, 101, 104, 222, 224, 225, or 226 of the Atomic Energy Act of
1954 (42 U.S.C. 2077, 2122, 2131, 2134, 2272, 2274, 2275, and 2276),
(x) section 601 of the National Security Act of 1947 (relating to intelligence
identities protection; 50 U.S.C. 421),
(xi) section 603(b) or (c) of the Comprehensive Anti-Apartheid Act of 1986 (22
U.S.C. 5113(b) and (c)); or
(xii) section 3, 4, 5, and 6 of the Prevention of Terrorist Access to Destructive
Weapons Act of 2004, relating to missile systems designed to destroy aircraft (18
U.S.C. 2332g), prohibitions governing atomic weapons (42 U.S.C. 2122),
radiological dispersal devices (18 U.S.C. 2332h), and variola virus (18 U.S.C.
175b);
(B) persons who are the subject of an indictment or have been convicted under
section 371 of Title 18 for conspiracy to violate any of the statutes cited in
subparagraph (A); and
(C) persons who are ineligible—
(i) to contract with,
(ii) to receive a license or other form of authorization to export from, or
(iii) to receive a license or other form of authorization to import defense articles or
defense services from, any agency of the United States Government.
…
(4) A license to export an item on the United States Munitions List may not be issued to
a person—
(A) if that person, or any party to the export, has been convicted of violating a statute
cited in paragraph (1), or
(B) if that person, or any party to the export, is at the time of the license review
ineligible to receive export licenses (or other forms of authorization to export) from
any agency of the United States Government,
except as may be determined on a case-by-case basis by the President, after
consultation with the Secretary of the Treasury, after a thorough review of the
circumstances surrounding the conviction or ineligibility to export and a finding by
the President that appropriate steps have been taken to mitigate any law enforcement
concerns.
…

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22 U.S.C. 2714 – Denial of passports to certain convicted drug traffickers
(a) Ineligibility for passport
(1) In general
A passport may not be issued to an individual who is convicted of an offense described
in subsection (b) of this section during the period described in subsection (c) of this
section if the individual used a passport or otherwise crossed an international border in
committing the offense.
(2) Passport revocation
The Secretary of State shall revoke a passport previously issued to an individual who is
ineligible to receive a passport under paragraph (1).
(b) Drug law offenses
(1) Felonies
Subsection (a) of this section applies with respect to any individual convicted of a
Federal drug offense, or a State drug offense, if the offense is a felony.
(2) Certain misdemeanors
Subsection (a) of this section also applies with respect to an individual convicted of a
Federal drug offense, or a State drug offense, if the offense is misdemeanor, but only if
the Secretary of State determines that subsection (a) of this section should apply with
respect to that individual on account of that offense. This paragraph does not apply to
an individual’s first conviction for a misdemeanor which involves only possession of a
controlled substance.
(c) Period of ineligibility
Subsection (a) of this section applies during the period that the individual—
(1) is imprisoned, or is legally required to be imprisoned, as the result of the conviction
for the offense described in subsection (b) of this section; or
(2) is on parole or other supervised release after having been imprisoned as the result of
that conviction.
(d) Emergency and humanitarian exceptions
Notwithstanding subsection (a) of this section, the Secretary of State may issue a
passport, in emergency circumstances or for humanitarian reasons, to an individual with
respect to whom that subsection applies.

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22 U.S.C. 4605 – Board of Directors
…
(f) Removal from office
A member of the Board appointed under subsection (b)(4) of this section may be
removed by the President—
(1) in consultation with the Board, for conviction of a felony, malfeasance in office,
persistent neglect of duties, or inability to discharge duties;
…
23 U.S.C. 159 - Revocation or suspension of drivers' licenses of individuals convicted
of drug offenses
(a) Withholding of apportionments for noncompliance.-(1) Beginning in fiscal year 1994.--For each fiscal year the Secretary shall withhold 5
percent of the amount required to be apportioned to any State under each of paragraphs
(1), (3), and (5) (as in effect on the day before the date of enactment of the
Transportation Equity Act for the 21st Century) of section 104(b) on the first day of
each fiscal year which begins after the second calendar year following the effective date
of this section if the State does not meet the requirements of paragraph (3) on such date.
(2) Beginning in fiscal year 1996.--The Secretary shall withhold 10 percent (including
any amounts withheld under paragraph (1)) of the amount required to be apportioned to
any State under each of paragraphs (1), (3), and (5) (as in effect on the day before the
date of enactment of the Transportation Equity Act for the 21st Century) of section
104(b) on the first day of each fiscal year which begins after the fourth calendar year
following the effective date of this section if the State does not meet the requirements
of paragraph (3) on the first day of such fiscal year.
(3) Requirements.--A State meets the requirements of this paragraph if-(A) the State has enacted and is enforcing a law that requires in all circumstances, or
requires in the absence of compelling circumstances warranting an exception-(i) the revocation, or suspension for at least 6 months, of the driver's license of any
individual who is convicted, after the enactment of such law, of-(I) any violation of the Controlled Substances Act, or
(II) any drug offense; and
(ii) a delay in the issuance or reinstatement of a driver's license to such an
individual for at least 6 months after the individual applies for the issuance or
reinstatement of a driver's license if the individual does not have a driver's license,
or the driver's license of the individual is suspended, at the time the individual is so
convicted; or
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(B) the Governor of the State-(i) submits to the Secretary no earlier than the adjournment sine die of the first
regularly scheduled session of the State's legislature which begins after the effective
date of this section a written certification stating that the Governor is opposed to the
enactment or enforcement in the State of a law described in subparagraph (A),
relating to the revocation, suspension, issuance, or reinstatement of drivers' licenses
to convicted drug offenders; and
(ii) submits to the Secretary a written certification that the legislature (including
both Houses where applicable) has adopted a resolution expressing its opposition to
a law described in clause (i).
(b) Period of availability; effect of compliance and noncompliance.-(1) Period of availability of withheld funds.-(A) Funds withheld on or before September 30, 1995.--Any funds withheld under
subsection (a) from apportionment to any State on or before September 30, 1995,
shall remain available for apportionment to such State as follows:
(i) If such funds would have been apportioned under section 104(b)(5)(A) (as in
effect on the day before the date of enactment of the Transportation Equity Act for
the 21st Century) but for this section, such funds shall remain available until the end
of the fiscal year for which such funds are authorized to be appropriated.
(ii) If such funds would have been apportioned under section 104(b)(5)(B) (as in
effect on the day before the date of enactment of the Transportation Equity Act for
the 21st Century) but for this section, such funds shall remain available until the end
of the second fiscal year following the fiscal year for which such funds are
authorized to be appropriated.
(iii) If such funds would have been apportioned under paragraph (1), (3), or (5) (as
in effect on the day before the date of enactment of the Transportation Equity Act
for the 21st Century) of section 104(b) but for this section, such funds shall remain
available until the end of the third fiscal year following the fiscal year for which
such funds are authorized to be appropriated.
(B) Funds withheld after September 30, 1995.--No funds withheld under this section
from apportionment to any State after September 30, 1995, shall be available for
apportionment to such State.
(2) Apportionment of withheld funds after compliance.--If, before the last day of the
period for which funds withheld under subsection (a) from apportionment are to remain
available for apportionment to a State under paragraph (1), the State meets the
requirements of subsection (a)(3), the Secretary shall, on the first day on which the
State meets the requirements of subsection (a)(3), apportion to the State the funds
withheld under subsection (a) that remain available for apportionment to the State.
(3) Period of availability of subsequently apportioned funds.--Any funds apportioned
pursuant to paragraph (2) shall remain available for expenditure as follows:
(A) Funds which would have been originally apportioned under section 104(b)(5)(A)
(as in effect on the day before the date of enactment of the Transportation Equity Act
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for the 21st Century) shall remain available until the end of the fiscal year succeeding
the fiscal year in which such funds are apportioned under paragraph (2).
(B) Funds which would have been originally apportioned under paragraph (1), (3), or
(5)(B) (as in effect on the day before the date of enactment of the Transportation Equity
Act for the 21st Century) of section 104(b) shall remain available until the end of the
third fiscal year succeeding the fiscal year in which such funds are so apportioned.
Sums not obligated at the end of such period shall lapse or, in the case of funds
apportioned under section 104(b)(5) (as in effect on the day before the date of
enactment of the Transportation Equity Act for the 21st Century), shall lapse and be
made available by the Secretary for projects in accordance with section 118(b).
(4) Effect of noncompliance.--If, at the end of the period for which funds withheld
under subsection (a) from apportionment are available for apportionment to a State
under paragraph (1), the State does not meet the requirements of subsection (a)(3), such
funds shall lapse or, in the case of funds withheld from apportionment under section
104(b)(5) (as in effect on the day before the date of enactment of the Transportation
Equity Act for the 21st Century), such funds shall lapse and be made available by the
Secretary for projects in accordance with section 118(b).
(c) Definitions.--For purposes of this section-(1) Driver's license.--The term “driver's license” means a license issued by a State to
any individual that authorizes the individual to operate a motor vehicle on highways.
(2) Drug offense.--The term “drug offense” means any criminal offense which
proscribes-(A) the possession, distribution, manufacture, cultivation, sale, transfer, or the attempt
or conspiracy to possess, distribute, manufacture, cultivate, sell, or transfer any
substance the possession of which is prohibited under the Controlled Substances Act;
or
(B) the operation of a motor vehicle under the influence of such a substance.
(3) Convicted.--The term “convicted” includes adjudicated under juvenile proceedings.
24 U.S.C. 412 – Residents of Retirement Home
(a) Persons eligible to be residents
Except as provided in subsection (b) of this section, the following persons who served as
members of the Armed Forces, at least one-half of whose service was not active
commissioned service (other than as a warrant officer or limited-duty officer), are eligible
to become residents of the Retirement Home:
(1) Persons who—
(A) are 60 years of age or over; and
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(B) were discharged or released from service in the Armed Forces under honorable
conditions after 20 or more years of active service.
(2) Persons who are determined under rules prescribed by the Chief Operating Officer
to be incapable of earning a livelihood because of a service-connected disability
incurred in the line of duty in the Armed Forces.
(3) Persons who—
(A) served in a war theater during a time of war declared by Congress or were eligible
for hostile fire special pay under section 310 of Title 37;
(B) were discharged or released from service in the Armed Forces under honorable
conditions; and
(C) are determined under rules prescribed by the Chief Operating Officer to be
incapable of earning a livelihood because of injuries, disease, or disability.
(4) Persons who—
(A) served in a women’s component of the Armed Forces before June 12, 1948; and
(B) are determined under rules prescribed by the Chief Operating Officer to be
eligible for admission because of compelling personal circumstances.
(b) Persons ineligible to be residents
A person described in subsection (a) of this section who has been convicted of a felony or
is not free of drug, alcohol, or psychiatric problems shall be ineligible to become a
resident of the Retirement Home.
25 U.S.C. 2704 – National Indian Gaming Commission
…
(b) Composition; investigation; term of office; removal
…
(5) No individual shall be eligible for any appointment to, or to continue service on, the
Commission, who—
(A) has been convicted of a felony or gaming offense;
…
25 U.S.C. 3207 - Character investigations
(a) By Secretary of the Interior and the Secretary of Health and Human Services
The Secretary and the Secretary of Health and Human Services shall-(1) compile a list of all authorized positions within their respective departments the
duties and responsibilities of which involve regular contact with, or control over, Indian
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children,
(2) conduct an investigation of the character of each individual who is employed, or is
being considered for employment, by the respective Secretary in a position listed
pursuant to paragraph (1), and

(3) prescribe by regulations minimum standards of character that each of such
individuals must meet to be appointed to such positions.
(b) Criminal records
The minimum standards of character that are to be prescribed under this section shall
ensure that none of the individuals appointed to positions described in subsection (a) of
this section have been found guilty of, or entered a plea of nolo contendere or guilty to,
any felonious offense, or any of two or more misdemeanor offenses, under Federal, State,
or tribal law involving crimes of violence; sexual assault, molestation, exploitation,
contact or prostitution; crimes against persons; or offenses committed against children.
(c) Investigations by Indian tribes and tribal organizations
Each Indian tribe or tribal organization that receives funds under the Indian SelfDetermination and Education Assistance Act [25 U.S.C.A. § 450 et seq.] or the Tribally
Controlled Schools Act of 1988 [25 U.S.C.A. § 2501 et seq.] shall-(1) conduct an investigation of the character of each individual who is employed, or is
being considered for employment, by such tribe or tribal organization in a position that
involves regular contact with, or control over, Indian children, and
(2) employ individuals in those positions only if the individuals meet standards of
character, no less stringent than those prescribed under subsection (a) of this section, as
the Indian tribe or tribal organization shall establish.
26 U.S.C. 25A – Hope and Lifetime Learning Credits
…
(b) Hope Scholarship Credit
…
(2) Limitations applicable to Hope Scholarship Credit.—
…
(D) Denial of credit if student convicted of a felony drug offense.—The Hope
Scholarship Credit under subsection (a)(1) shall not be allowed for qualified tuition
and related expenses for the enrollment or attendance of a student for any academic
period if such student has been convicted of a Federal or State felony offense
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consisting of the possession or distribution of a controlled substance before the end of
the taxable year with or within which such period ends.
26 U.S.C. 7213 – Unauthorized disclosure of information
(a) Returns and return information.—
(1) Federal employees and other persons.—It shall be unlawful for any officer or
employee of the United States or any person described in section 6103(n) (or an officer
or employee of any such person), or any former officer or employee, willfully to
disclose to any person, except as authorized in this title, any return or return
information (as defined in section 6103(b)). Any violation of this paragraph shall be a
felony punishable upon conviction by a fine in any amount not exceeding $5,000, or
imprisonment of not more than 5 years, or both, together with the costs of prosecution,
and if such offense is committed by any officer or employee of the United States, he
shall, in addition to any other punishment, be dismissed from office or discharged from
employment upon conviction for such offense.
…
(b) Disclosure of operations of manufacturer or producer.—Any officer or employee of
the United States who divulges or makes known in any manner whatever not provided by
law to any person the operations, style of work, or apparatus of any manufacturer or
producer visited by him in the discharge of his official duties shall be guilty of a
misdemeanor and, upon conviction thereof, shall be fined not more than $1,000, or
imprisoned not more than 1 year, or both, together with the costs of prosecution; and the
offender shall be dismissed from office or discharged from employment.
(c) Disclosures by certain delegates of Secretary.—All provisions of law relating to the
disclosure of information, and all provisions of law relating to penalties for unauthorized
disclosure of information, which are applicable in respect of any function under this title
when performed by an officer or employee of the Treasury Department are likewise
applicable in respect of such function when performed by any person who is a “delegate”
within the meaning of section 7701(a)(12)(B).
26 U.S.C. 7213A – Unauthorized inspection of returns or return information
(a) Prohibitions.—
(1) Federal employees and other persons.—It shall be unlawful for—
(A) any officer or employee of the United States, or
(B) any person described in subsection (l)(18) or (n) of section 6103 or an officer or
employee of any such person,
willfully to inspect, except as authorized in this title, any return or return information.
(2) State and other employees.—It shall be unlawful for any person (not described in
paragraph (1)) willfully to inspect, except as authorized in this title, any return or return
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information acquired by such person or another person under a provision of section
6103 referred to in section 7213(a)(2) or under section 6104(c).
(b) Penalty.—
(1) In general.—Any violation of subsection (a) shall be punishable upon conviction by
a fine in any amount not exceeding $1,000, or imprisonment of not more than 1 year, or
both, together with the costs of prosecution.
(2) Federal officers or employees.—An officer or employee of the United States who is
convicted of any violation of subsection (a) shall, in addition to any other punishment,
be dismissed from office or discharged from employment.
(c) Definitions.—For purposes of this section, the terms “inspect”, “return”, and “return
information” have the respective meanings given such terms by section 6103(b).
26 U.S.C. 7214 – Offenses by officers and employees of the United States
(a) Unlawful acts of revenue officers or agents.—Any officer or employee of the United
States acting in connection with any revenue law of the United States—
(1) who is guilty of any extortion or willful oppression under color of law; or
(2) who knowingly demands other or greater sums than are authorized by law, or
receives any fee, compensation, or reward, except as by law prescribed, for the
performance of any duty; or
(3) who with intent to defeat the application of any provision of this title fails to
perform any of the duties of his office or employment; or
(4) who conspires or colludes with any other person to defraud the United States; or
(5) who knowingly makes opportunity for any person to defraud the United States; or
(6) who does or omits to do any act with intent to enable any other person to defraud
the United States; or
(7) who makes or signs any fraudulent entry in any book, or makes or signs any
fraudulent certificate, return, or statement; or
(8) who, having knowledge or information of the violation of any revenue law by any
person, or of fraud committed by any person against the United States under any
revenue law, fails to report, in writing, such knowledge or information to the Secretary;
or

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(9) who demands, or accepts, or attempts to collect, directly or indirectly as payment or
gift, or otherwise, any sum of money or other thing of value for the compromise,
adjustment, or settlement of any charge or complaint for any violation or alleged
violation of law, except as expressly authorized by law so to do;
shall be dismissed from office or discharged from employment and, upon conviction
thereof, shall be fined not more than $10,000, or imprisoned not more than 5 years, or
both. The court may in its discretion award out of the fine so imposed an amount, not in
excess of one-half thereof, for the use of the informer, if any, who shall be ascertained by
the judgment of the court. The court also shall render judgment against the said officer or
employee for the amount of damages sustained in favor of the party injured, to be
collected by execution.
28 U.S.C. 1865 – Qualifications for jury service
(a) The chief judge of the district court, or such other district court judge as the plan may
provide, on his initiative or upon recommendation of the clerk or jury commission, or the
clerk under supervision of the court if the court’s jury selection plan so authorizes, shall
determine solely on the basis of information provided on the juror qualification form and
other competent evidence whether a person is unqualified for, or exempt, or to be
excused from jury service. The clerk shall enter such determination in the space provided
on the juror qualification form and in any alphabetical list of names drawn from the
master jury wheel. If a person did not appear in response to a summons, such fact shall be
noted on said list.
(b) In making such determination the chief judge of the district court, or such other
district court judge as the plan may provide, or the clerk if the court’s jury selection plan
so provides, shall deem any person qualified to serve on grand and petit juries in the
district court unless he—
(1) is not a citizen of the United States eighteen years old who has resided for a period
of one year within the judicial district;
(2) is unable to read, write, and understand the English language with a degree of
proficiency sufficient to fill out satisfactorily the juror qualification form;
(3) is unable to speak the English language;
(4) is incapable, by reason of mental or physical infirmity, to render satisfactory jury
service; or
(5) has a charge pending against him for the commission of, or has been convicted in a
State or Federal court of record of, a crime punishable by imprisonment for more than
one year and his civil rights have not been restored.

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29 U.S.C. 504 – Prohibition against certain persons holding office
(a) … ; persons convicted of robbery, bribery, etc.
No person … who has been convicted of, or served any part of a prison term resulting
from his conviction of, robbery, bribery, extortion, embezzlement, grand larceny,
burglary, arson, violation of narcotics laws, murder, rape, assault with intent to kill,
assault which inflicts grievous bodily injury, or a violation of subchapter III or IV of this
chapter any felony involving abuse or misuse of such person’s position or employment in
a labor organization or employee benefit plan to seek or obtain an illegal gain at the
expense of the members of the labor organization or the beneficiaries of the employee
benefit plan, or conspiracy to commit any such crimes or attempt to commit any such
crimes, or a crime in which any of the foregoing crimes is an element, shall serve or be
permitted to serve—
(1) as a consultant or adviser to any labor organization,
(2) as an officer, director, trustee, member of any executive board or similar governing
body, business agent, manager, organizer, employee, or representative in any capacity
of any labor organization,
(3) as a labor relations consultant or adviser to a person engaged in an industry or
activity affecting commerce, or as an officer, director, agent, or employee of any group
or association of employers dealing with any labor organization, or in a position having
specific collective bargaining authority or direct responsibility in the area of labormanagement relations in any corporation or association engaged in an industry or
activity affecting commerce, or
(4) in a position which entitles its occupant to a share of the proceeds of, or as an
officer or executive or administrative employee of, any entity whose activities are in
whole or substantial part devoted to providing goods or services to any labor
organization, or
(5) in any capacity, other than in his capacity as a member of such labor organization,
that involves decisionmaking authority concerning, or decisionmaking authority over,
or custody of, or control of the moneys, funds, assets, or property of any labor
organization,
during or for the period of thirteen years after such conviction or after the end of such
imprisonment, whichever is later, unless the sentencing court on the motion of the person
convicted sets a lesser period of at least three years after such conviction or after the end
of such imprisonment, whichever is later, or unless prior to the end of such period, in the
case of a person so convicted or imprisoned, (A) his citizenship rights, having been
revoked as a result of such conviction, have been fully restored, or (B) if the offense is a
Federal offense, the sentencing judge or, if the offense is a State or local offense, the
United States district court for the district in which the offense was committed, pursuant
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to sentencing guidelines and policy statements under section 994(a) of Title 28,
determines that such person’s service in any capacity referred to in clauses (1) through
(5) would not be contrary to the purposes of this chapter. Prior to making any such
determination the court shall hold a hearing and shall give notice of such proceeding by
certified mail to the Secretary of Labor and to State, county, and Federal prosecuting
officials in the jurisdiction or jurisdictions in which such person was convicted. The
court’s determination in any such proceeding shall be final. No person shall knowingly
hire, retain, employ, or otherwise place any other person to serve in any capacity in
violation of this subsection.
(b) Penalty for violations
Any person who willfully violates this section shall be fined not more than $10,000 or
imprisoned for not more than five years, or both.
(c) Definitions
For the purpose of this section—
(1) A person shall be deemed to have been “convicted” and under the disability of
“conviction” from the date of the judgment of the trial court, regardless of whether that
judgment remains under appeal.
(2) A period of parole shall not be considered as part of a period of imprisonment.
(d) Salary of person barred from labor organization office during appeal of conviction
Whenever any person—
(1) by operation of this section, has been barred from office or other position in a labor
organization as a result of a conviction, and
(2) has filed an appeal of that conviction,
any salary which would be otherwise due such person by virtue of such office or position,
shall be placed in escrow by the individual employer or organization responsible for
payment of such salary. Payment of such salary into escrow shall continue for the
duration of the appeal or for the period of time during which such salary would be
otherwise due, whichever period is shorter. Upon the final reversal of such person’s
conviction on appeal, the amounts in escrow shall be paid to such person. Upon the final
sustaining of such person’s conviction on appeal, the amounts in escrow shall be returned
to the individual employer or organization responsible for payments of those amounts.
Upon final reversal of such person’s conviction, such person shall no longer be barred by
this statute from assuming any position from which such person was previously barred.

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29 U.S.C. 1111 – Persons prohibited from holding certain positions
(a) Conviction or imprisonment
No person who has been convicted of, or has been imprisoned as a result of his
conviction of, robbery, bribery, extortion, embezzlement, fraud, grand larceny, burglary,
arson, a felony violation of Federal or State law involving substances defined in section
802(6) of Title 21, murder, rape, kidnaping, perjury, assault with intent to kill, any crime
described in section 80a-9(a)(1) of Title 15, a violation of any provision of this chapter, a
violation of section 186 of this title, a violation of chapter 63 of Title 18, a violation of
section 874, 1027, 1503, 1505, 1506, 1510, 1951, or 1954 of Title 18, a violation of the
Labor-Management Reporting and Disclosure Act of 1959 (29 U.S.C. 401), any felony
involving abuse or misuse of such person’s position or employment in a labor
organization or employee benefit plan to seek or obtain an illegal gain at the expense of
the members of the labor organization or the beneficiaries of the employee benefit plan,
or conspiracy to commit any such crimes or attempt to commit any such crimes, or a
crime in which any of the foregoing crimes is an element, shall serve or be permitted to
serve—
(1) as an administrator, fiduciary, officer, trustee, custodian, counsel, agent, employee,
or representative in any capacity of any employee benefit plan,
(2) as a consultant or adviser to an employee benefit plan, including but not limited to
any entity whose activities are in whole or substantial part devoted to providing goods
or services to any employee benefit plan, or
(3) in any capacity that involves decisionmaking authority or custody or control of the
moneys, funds, assets, or property of any employee benefit plan,
during or for the period of thirteen years after such conviction or after the end of such
imprisonment, whichever is later, unless the sentencing court on the motion of the
person convicted sets a lesser period of at least three years after such conviction or after
the end of such imprisonment, whichever is later, or unless prior to the end of such
period, in the case of a person so convicted or imprisoned (A) his citizenship rights,
having been revoked as a result of such conviction, have been fully restored, or (B) if
the offense is a Federal offense, the sentencing judge or, if the offense is a State or local
offense, the United States district court for the district in which the offense was
committed, pursuant to sentencing guidelines and policy statements under section
994(a) of Title 28, determines that such person’s service in any capacity referred to in
paragraphs (1) through (3) would not be contrary to the purposes of this subchapter.
Prior to making any such determination the court shall hold a hearing and shall give
notice to such proceeding by certified mail to the Secretary of Labor and to State,
county, and Federal prosecuting officials in the jurisdiction or jurisdictions in which
such person was convicted. The court’s determination in any such proceeding shall be
final. No person shall knowingly hire, retain, employ, or otherwise place any other
person to serve in any capacity in violation of this subsection. Notwithstanding the
preceding provisions of this subsection, no corporation or partnership will be precluded
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from acting as an administrator, fiduciary, officer, trustee, custodian, counsel, agent, or
employee of any employee benefit plan or as a consultant to any employee benefit plan
without a notice, hearing, and determination by such court that such service would be
inconsistent with the intention of this section.
(b) Penalty
Any person who intentionally violates this section shall be fined not more than $10,000
or imprisoned for not more than five years, or both.
(c) Definitions
For the purpose of this section—
(1) A person shall be deemed to have been “convicted” and under the disability of
“conviction” from the date of the judgment of the trial court, regardless of whether that
judgment remains under appeal.
(2) The term “consultant” means any person who, for compensation, advises, or
represents an employee benefit plan or who provides other assistance to such plan,
concerning the establishment or operation of such plan.
(3) A period of parole or supervised release shall not be considered as part of a period
of imprisonment.
(d) Salary of person barred from employee benefit plan office during appeal of
conviction
Whenever any person—
(1) by operation of this section, has been barred from office or other position in an
employee benefit plan as a result of a conviction, and
(2) has filed an appeal of that conviction,
any salary which would be otherwise due such person by virtue of such office or position,
shall be placed in escrow by the individual or organization responsible for payment of
such salary. Payment of such salary into escrow shall continue for the duration of the
appeal or for the period of time during which such salary would be otherwise due,
whichever period is shorter. Upon the final reversal of such person’s conviction on
appeal, the amounts in escrow shall be paid to such person. Upon the final sustaining of
that person’s conviction on appeal, the amounts in escrow shall be returned to the
individual or organization responsible for payments of those amounts. Upon final reversal
of such person’s conviction, such person shall no longer be barred by this statute from
assuming any position from which such person was previously barred.

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29 U.S.C. 1813 – Registration determinations
(a) Grounds for refusal to issue or renew, suspension, or revocation of certificate
In accordance with regulations, the Secretary may refuse to issue or renew, or may
suspend or revoke, a certificate of registration (including a certificate of registration as an
employee of a farm labor contractor) if the applicant or holder—
(1) has knowingly made any misrepresentation in the application for such certificate;
(2) is not the real party in interest in the application or certificate of registration and the
real party in interest is a person who has been refused issuance or renewal of a
certificate, has had a certificate suspended or revoked, or does not qualify under this
section for a certificate;
(3) has failed to comply with this chapter or any regulation under this chapter;
(4) has failed—
(A) to pay any court judgment obtained by the Secretary or any other person under
this chapter or any regulation under this chapter or under the Farm Labor Contractor
Registration Act of 1963 [7 U.S.C.A. § 2041 et seq.] or any regulation under such
Act, or
(B) to comply with any final order issued by the Secretary as a result of a violation of
this chapter or any regulation under this chapter or a violation of the Farm Labor
Contractor Registration Act of 1963 or any regulation under such Act;
(5) has been convicted within the preceding five years—
(A) of any crime under State or Federal law relating to gambling, or to the sale,
distribution or possession of alcoholic beverages, in connection with or incident to
any farm labor contracting activities; or
(B) of any felony under State or Federal law involving robbery, bribery, extortion,
embezzlement, grand larceny, burglary, arson, violation of narcotics laws, murder,
rape, assault with intent to kill, assault which inflicts grievous bodily injury,
prostitution, peonage, or smuggling or harboring individuals who have entered the
United States illegally; or
(6) has been found to have violated paragraph (1) or (2) of section 1324a(a) of Title 8.
(b) Administrative review procedures applicable
(1) The person who is refused the issuance or renewal of a certificate or whose
certificate is suspended or revoked under subsection (a) of this section shall be afforded
an opportunity for agency hearing, upon request made within thirty days after the date
of issuance of the notice of the refusal, suspension, or revocation. In such hearing, all
issues shall be determined on the record pursuant to section 554 of Title 5. If no hearing
is requested as herein provided, the refusal, suspension, or revocation shall constitute a
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final and unappealable order.
(2) If a hearing is requested, the initial agency decision shall be made by an
administrative law judge, and such decision shall become the final order unless the
Secretary modifies or vacates the decision. Notice of intent to modify or vacate the
decision of the administrative law judge shall be issued to the parties within thirty days
after the decision of the administrative law judge. A final order which takes effect
under this paragraph shall be subject to review only as provided under subsection (c) of
this section.
(c) Judicial review procedures applicable
Any person against whom an order has been entered after an agency hearing under this
section may obtain review by the United States district court for any district in which he
is located or the United States District Court for the District of Columbia by filing a
notice of appeal in such court within thirty days from the date of such order, and
simultaneously sending a copy of such notice by registered mail to the Secretary. The
Secretary shall promptly certify and file in such court the record upon which the order
was based. The findings of the Secretary shall be set aside only if found to be
unsupported by substantial evidence as provided by section 706(2)(E) of Title 5. Any
final decision, order, or judgment of such District Court concerning such review shall be
subject to appeal as provided in chapter 83 of Title 28.
36 U.S.C. 40723 – Eligibility for participation
(a) Certification.—
(1) An individual shall certify by affidavit, before participating in an activity sponsored
or supported by the corporation, that the individual—
(A) has not been convicted of a felony;
(B) has not been convicted of a violation of section 922 of title 18; and
(C) is not a member of an organization that advocates the violent overthrow of the
United States Government.
(2) The Director of Civilian Marksmanship may require an individual to provide
certification from law enforcement agencies to verify that the individual has not been
convicted of a felony or a violation of section 922 of title 18.
(b) Ineligibility.—An individual may not participate in an activity sponsored or supported
by the corporation if the individual—
(1) has been convicted of a felony; or
(2) has been convicted of a violation of section 922 of title 18.

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(c) Limiting participation.—The Director may limit participation in the program as
necessary to ensure—
(1) the safety of participants;
(2) the security of firearms, ammunition, and equipment; and
(3) the quality of instruction in the use of firearms.
36 U.S.C. 40732 – Sale of firearms and supplies
…
(b) Gun club members.--(1) The corporation may sell, at fair market value, caliber .22
rimfire and caliber .30 surplus rifles, ammunition, repair parts and other supplies
necessary for target practice to a citizen of the United States who is over 18 years of age
and who is a member of a gun club affiliated with the corporation.
(2) Except as provided in section 40733 of this title, sales under this subsection are
subject to applicable United States, State, and local law. In addition to any other
requirement, the corporation shall establish procedures to obtain a criminal records
check of the individual with United States Government and State law enforcement
agencies.
(c) Limitation on sales.--(1) The corporation may not sell a repair part designed to
convert a firearm to fire in a fully automatic mode.
(2) The corporation may not sell any item to an individual who has been convicted of—
(A) a felony; or
(B) a violation of section 922 of title 18.
38 U.S.C. 1911 – Forfeiture
Any person guilty of mutiny, treason, spying, or desertion, or who, because of
conscientious objections, refuses to perform service in the Armed Forces of the United
States or refuses to wear the uniform of such force, shall forfeit all rights to National
Service Life Insurance. No insurance shall be payable for death inflicted as a lawful
punishment for crime or for military or naval offense, except when inflicted by an enemy
of the United States; but the cash surrender value, if any, of such insurance on the date of
such death shall be paid to the designated beneficiary, if living, or otherwise to the
beneficiary or beneficiaries within the permitted class in accordance with the order
specified in section 1916(b) of this title.
38 U.S.C. 1973 – Forfeiture
Any person guilty of mutiny, treason, spying, or desertion, or who, because of
conscientious objections, refuses to perform service in the Armed Forces of the United
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States or refuses to wear the uniform of such force, shall forfeit all rights to
Servicemembers’ Group Life Insurance and Veterans’ Group Life Insurance under this
subchapter. No such insurance shall be payable for death inflicted as a lawful punishment
for crime or for military or naval offense, except when inflicted by an enemy of the
United States.
38 U.S.C. 6104 – Forfeiture for treason
(a) Any person shown by evidence satisfactory to the Secretary to be guilty of mutiny,
treason, sabotage, or rendering assistance to an enemy of the United States or of its allies
shall forfeit all accrued or future gratuitous benefits under laws administered by the
Secretary.
…
38 U.S.C. 6105 – Forfeiture for subversive activities
(a) Any individual who is convicted after September 1, 1959, of any offense listed in
subsection (b) of this section shall, from and after the date of commission of such
offense, have no right to gratuitous benefits (including the right to burial in a national
cemetery) under laws administered by the Secretary based on periods of military, naval,
or air service commencing before the date of the commission of such offense and no
other person shall be entitled to such benefits on account of such individual. After receipt
of notice of the return of an indictment for such an offense the Secretary shall suspend
payment of such gratuitous benefits pending disposition of the criminal proceedings. If
any individual whose right to benefits has been terminated pursuant to this section is
granted a pardon of the offense by the President of the United States, the right to such
benefits shall be restored as of the date of such pardon.
(b) The offenses referred to in subsection (a) of this section are those offenses for which
punishment is prescribed in—
(1) sections 894, 904, and 906 of title 10 (articles 94, 104, and 106 of the Uniform Code
of Military Justice);
(2) sections 175, 229, 792, 793, 794, 798, 831, 1091, 2332a, 2332b, 2381, 2382, 2383,
2384, 2385, 2387, 2388, 2389, 2390, and chapter 105 of title 18;
(3) sections 222, 223, 224, 225, and 226 of the Atomic Energy Act of 1954 (42 U.S.C.
2272, 2273, 2274, 2275, and 2276); and
(4) section 4 of the Internal Security Act of 1950 (50 U.S.C. 783).
(c) The Secretary of Defense or the Secretary of Homeland Security, as appropriate, shall
notify the Secretary in each case in which an individual is convicted of an offense listed
in paragraph (1) of subsection (b). The Attorney General shall notify the Secretary in
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each case in which an individual is indicted or convicted of an offense listed in paragraph
(2), (3), or (4) of subsection (b).
40 U.S.C. 590 – Child care
(a) Guidance, assistance, and oversight.—Through the General Services Administration’s
licensing agreements, the Administrator of General Services shall provide guidance,
assistance, and oversight to federal agencies for the development of child care centers to
provide economical and effective child care for federal workers.
(b) Allotment of space in federal buildings.—
(1) Definitions.—In this subsection, the following definitions apply:
(A) Child care provider.—The term “child care provider” means an individual or
entity that provides or proposes to provide child care services for federal employees.
…
(f) Criminal history background checks.—
(1) Definition.—In this subsection, the term “executive facility” means a facility owned
or leased by an office or entity within the executive branch of the Government. The
term includes a facility owned or leased by the General Services Administration on
behalf of an office or entity within the judicial branch of the Government.
(2) In general.—All workers in a child care center located in an executive facility shall
undergo a criminal history background check as defined in section 231 of the Crime
Control Act of 1990 (42 U.S.C. 13041).
(3) Nonapplication to legislative branch facilities.—This subsection does not apply to a
facility owned by or leased on behalf of an office or entity within the legislative branch
of the Government.
42 U.S.C. 629i – Grants for programs for mentoring children of prisoners
(a) Findings and purposes
(1) Findings
(A) In the period between 1991 and 1999, the number of children with a parent
incarcerated in a Federal or State correctional facility increased by more than 100
percent, from approximately 900,000 to approximately 2,000,000. In 1999, 2.1
percent of all children in the United States had a parent in Federal or State prison.
(B) Prior to incarceration, 64 percent of female prisoners and 44 percent of male
prisoners in State facilities lived with their children.

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(C) Nearly 90 percent of the children of incarcerated fathers live with their mothers,
and 79 percent of the children of incarcerated mothers live with a grandparent or
other relative.
(D) Parental arrest and confinement lead to stress, trauma, stigmatization, and
separation problems for children. These problems are coupled with existing problems
that include poverty, violence, parental substance abuse, high-crime environments,
intrafamilial abuse, child abuse and neglect, multiple care givers, and/or prior
separations. As a result, these children often exhibit a broad variety of behavioral,
emotional, health, and educational problems that are often compounded by the pain of
separation.
(E) Empirical research demonstrates that mentoring is a potent force for improving
children’s behavior across all risk behaviors affecting health. quality, one-on-one
relationships that provide young people with caring role models for future success
have profound, life-changing potential. done right, mentoring markedly advances
youths’ life prospects. a widely cited 1995 study by public/private ventures measured
the impact of one big brothers big sisters program and found significant effects in the
lives of youth—cutting first-time drug use by almost half and first-time alcohol use
by about a third, reducing school absenteeism by half, cutting assaultive behavior by
a third, improving parental and peer relationships, giving youth greater confidence in
their school work, and improving academic performance.
(2) Purposes
The purposes of this section are to authorize the Secretary—
(A) to make competitive grants to applicants in areas with substantial numbers of
children of incarcerated parents, to support the establishment or expansion and
operation of programs using a network of public and private community entities to
provide mentoring services for children of prisoners; and
(B) to enter into on a competitive basis a cooperative agreement to conduct a service
delivery demonstration project in accordance with the requirements of subsection (g).
(b) Definitions
In this section:
(1) Children of prisoners
The term “children of prisoners” means children one or both of whose parents are
incarcerated in a Federal, State, or local correctional facility. The term is deemed to
include children who are in an ongoing mentoring relationship in a program under this
section at the time of their parents’ release from prison, for purposes of continued
participation in the program.
(2) Mentoring
The term “mentoring” means a structured, managed program in which children are
appropriately matched with screened and trained adult volunteers for one-on-one
relationships, involving meetings and activities on a regular basis, intended to meet, in

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part, the child’s need for involvement with a caring and supportive adult who provides
a positive role model.
(3) Mentoring services
The term “mentoring services” means those services and activities that support a
structured, managed program of mentoring, including the management by trained
personnel of outreach to, and screening of, eligible children; outreach to, education and
training of, and liaison with sponsoring local organizations; screening and training of
adult volunteers; matching of children with suitable adult volunteer mentors; support
and oversight of the mentoring relationship; and establishment of goals and evaluation
of outcomes for mentored children.
…
(d) Application requirements
In order to be eligible for a grant under this section, the chief executive officer of the
applicant must submit to the Secretary an application containing the following:
(1) Program design
A description of the proposed program, including—
(A) a list of local public and private organizations and entities that will participate in
the mentoring network;
(B) the name, description, and qualifications of the entity that will coordinate and
oversee the activities of the mentoring network;
(C) the number of mentor-child matches proposed to be established and maintained
annually under the program;
(D) such information as the Secretary may require concerning the methods to be used
to recruit, screen support, and oversee individuals participating as mentors, (which
methods shall include criminal background checks on the individuals), and to
evaluate outcomes for participating children, including information necessary to
demonstrate compliance with requirements established by the Secretary for the
program; and
(E) such other information as the Secretary may require.
…
(4) Cooperative agreement requirements
A cooperative agreement awarded under this subsection shall require the eligible entity
to do the following:
(A) Identify quality standards for providers
To work with the Secretary to identify the quality standards that a provider of
mentoring services must meet in order to participate in the demonstration project and
which, at a minimum, shall include criminal records checks for individuals who are
prospective mentors and shall prohibit approving any individual to be a mentor if the
criminal records check of the individual reveals a conviction which would prevent the
individual from being approved as a foster or adoptive parent under section
671(a)(20)(A) of this title.
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42 U.S.C. 671 – State plan for foster care and adoption assistance
…
(20)(A) unless an election provided for in subparagraph (B) is made with respect to the
State, provides procedures for criminal records checks, including fingerprint-based
checks of national crime information databases (as defined in section 534(e)(3)(A) of
Title 28), for any prospective foster or adoptive parent before the foster or adoptive
parent may be finally approved for placement of a child regardless of whether foster
care maintenance payments or adoption assistance payments are to be made on behalf
of the child under the State plan under this part, including procedures requiring that—
(i) in any case involving a child on whose behalf such payments are to be so made
in which a record check reveals a felony conviction for child abuse or neglect, for
spousal abuse, for a crime against children (including child pornography), or for a
crime involving violence, including rape, sexual assault, or homicide, but not
including other physical assault or battery, if a State finds that a court of competent
jurisdiction has determined that the felony was committed at any time, such final
approval shall not be granted; and
(ii) in any case involving a child on whose behalf such payments are to be so made
in which a record check reveals a felony conviction for physical assault, battery, or
a drug-related offense, if a State finds that a court of competent jurisdiction has
determined that the felony was committed within the past 5 years, such final
approval shall not be granted; and
…
(C) provides that the State shall—
(i) check any child abuse and neglect registry maintained by the State for
information on any prospective foster or adoptive parent and on any other adult
living in the home of such a prospective parent, and request any other State in
which any such prospective parent or other adult has resided in the preceding 5
years, to enable the State to check any child abuse and neglect registry maintained
by such other State for such information, before the prospective foster or adoptive
parent may be finally approved for placement of a child, regardless of whether
foster care maintenance payments or adoption assistance payments are to be made
on behalf of the child under the State plan under this part;
(ii) comply with any request described in clause (i) that is received from another
State; and
(iii) have in place safeguards to prevent the unauthorized disclosure of information
in any child abuse and neglect registry maintained by the State, and to prevent any
such information obtained pursuant to this subparagraph from being used for a
purpose other than the conducting of background checks in foster or adoptive
placement cases;
…
42 U.S.C. 675 – Definitions
(5) The term “case review system” means a procedure for assuring that—
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…
(E) in the case of a child who has been in foster care under the responsibility of the
State for 15 of the most recent 22 months, or, if a court of competent jurisdiction has
determined a child to be an abandoned infant (as defined under State law) or has
made a determination that the parent has committed murder of another child of the
parent, committed voluntary manslaughter of another child of the parent, aided or
abetted, attempted, conspired, or solicited to commit such a murder or such a
voluntary manslaughter, or committed a felony assault that has resulted in serious
bodily injury to the child or to another child of the parent, the State shall file a
petition to terminate the parental rights of the child’s parents (or, if such a petition has
been filed by another party, seek to be joined as a party to the petition), and,
concurrently, to identify, recruit, process, and approve a qualified family for an
adoption, unless—
(i) at the option of the State, the child is being cared for by a relative;
(ii) a State agency has documented in the case plan (which shall be available for
court review) a compelling reason for determining that filing such a petition would
not be in the best interests of the child; or
(iii) the State has not provided to the family of the child, consistent with the time
period in the State case plan, such services as the State deems necessary for the safe
return of the child to the child’s home, if reasonable efforts of the type described in
section 671(a)(15)(B)(ii) of this title are required to be made with respect to the
child;
…
42 U.S.C. 1320a-7 – Exclusion of certain individuals and entities from participation
in Medicare and State health care programs
(a) Mandatory exclusion
The Secretary shall exclude the following individuals and entities from participation in
any Federal health care program (as defined in section 1320a-7b(f) of this title):
(1) Conviction of program-related crimes
Any individual or entity that has been convicted of a criminal offense related to the
delivery of an item or service under subchapter XVIII of this chapter or under any State
health care program.
(2) Conviction relating to patient abuse
Any individual or entity that has been convicted, under Federal or State law, of a
criminal offense relating to neglect or abuse of patients in connection with the delivery
of a health care item or service.
(3) Felony conviction relating to health care fraud
Any individual or entity that has been convicted for an offense which occurred after
August 21, 1996, under Federal or State law, in connection with the delivery of a health
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care item or service or with respect to any act or omission in a health care program
(other than those specifically described in paragraph (1)) operated by or financed in
whole or in part by any Federal, State, or local government agency, of a criminal
offense consisting of a felony relating to fraud, theft, embezzlement, breach of fiduciary
responsibility, or other financial misconduct.
(4) Felony conviction relating to controlled substance
Any individual or entity that has been convicted for an offense which occurred after
August 21, 1996, under Federal or State law, of a criminal offense consisting of a
felony relating to the unlawful manufacture, distribution, prescription, or dispensing of
a controlled substance.
(b) Permissive exclusion
The Secretary may exclude the following individuals and entities from participation in
any Federal health care program (as defined in section 1320a-7b(f) of this title):
(1) Conviction relating to fraud
Any individual or entity that has been convicted for an offense which occurred after
August 21, 1996, under Federal or State law—
(A) of a criminal offense consisting of a misdemeanor relating to fraud, theft,
embezzlement, breach of fiduciary responsibility, or other financial misconduct—
(i) in connection with the delivery of a health care item or service, or
(ii) with respect to any act or omission in a health care program (other than those
specifically described in subsection (a)(1) of this section) operated by or financed in
whole or in part by any Federal, State, or local government agency; or
(B) of a criminal offense relating to fraud, theft, embezzlement, breach of fiduciary
responsibility, or other financial misconduct with respect to any act or omission in a
program (other than a health care program) operated by or financed in whole or in
part by any Federal, State, or local government agency.
(2) Conviction relating to obstruction of an investigation
Any individual or entity that has been convicted, under Federal or State law, in
connection with the interference with or obstruction of any investigation into any
criminal offense described in paragraph (1) or in subsection (a) of this section.
(3) Misdemeanor conviction relating to controlled substance
Any individual or entity that has been convicted, under Federal or State law, of a
criminal offense consisting of a misdemeanor relating to the unlawful manufacture,
distribution, prescription, or dispensing of a controlled substance.
…
(8) Entities controlled by a sanctioned individual
Any entity with respect to which the Secretary determines that a person—

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(A)(i) who has a direct or indirect ownership or control interest of 5 percent or more
in the entity or with an ownership or control interest (as defined in section 1320a3(a)(3) of this title) in that entity,
(ii) who is an officer, director, agent, or managing employee (as defined in section
1320a-5(b) of this title) of that entity; or
(iii) who was described in clause (i) but is no longer so described because of a
transfer of ownership or control interest, in anticipation of (or following) a
conviction, assessment, or exclusion described in subparagraph (B) against the
person, to an immediate family member (as defined in subsection (j)(1) of this
section) or a member of the household of the person (as defined in subsection (j)(2)
of this section) who continues to maintain an interest described in such clause—
is a person—
(B)(i) who has been convicted of any offense described in subsection (a) of this
section or in paragraph (1), (2), or (3) of this subsection;
…
(15) Individuals controlling a sanctioned entity
(A) Any individual—
(i) who has a direct or indirect ownership or control interest in a sanctioned entity
and who knows or should know (as defined in section 1320a-7a(i)(6) of this title) of
the action constituting the basis for the conviction or exclusion described in
subparagraph (B); or
(ii) who is an officer or managing employee (as defined in section 1320a-5(b) of
this title) of such an entity.
(B) For purposes of subparagraph (A), the term “sanctioned entity” means an entity—
(i) that has been convicted of any offense described in subsection (a) of this section
or in paragraph (1), (2), or (3) of this subsection; or
(ii) that has been excluded from participation under a program under subchapter
XVIII of this chapter or under a State health care program.
(c) Notice, effective date, and period of exclusion
(1) An exclusion under this section or under section 1320a-7a of this title shall be
effective at such time and upon such reasonable notice to the public and to the
individual or entity excluded as may be specified in regulations consistent with
paragraph (2).
(2)(A) Except as provided in subparagraph (B), such an exclusion shall be effective
with respect to services furnished to an individual on or after the effective date of the
exclusion.
(B) Unless the Secretary determines that the health and safety of individuals receiving
services warrants the exclusion taking effect earlier, an exclusion shall not apply to
payments made under subchapter XVIII of this chapter or under a State health care
program for—
(i) inpatient institutional services furnished to an individual who was admitted to
such institution before the date of the exclusion, or
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(ii) home health services and hospice care furnished to an individual under a plan of
care established before the date of the exclusion,
until the passage of 30 days after the effective date of the exclusion.
(3)(A) The Secretary shall specify, in the notice of exclusion under paragraph (1) and
the written notice under section 1320a-7a of this title, the minimum period (or, in the
case of an exclusion of an individual under subsection (b)(12) of this section or in the
case described in subparagraph (G), the period) of the exclusion.
(B) Subject to subparagraph (G), in the case of an exclusion under subsection (a) of
this section, the minimum period of exclusion shall be not less than five years, except
that, upon the request of the administrator of a Federal health care program (as
defined in section 1320-7b(f) of this title) who determines that the exclusion would
impose a hardship on individuals entitled to benefits under part A of subchapter
XVIII of this chapter or enrolled under part B of subchapter VIII of this chapter, or
both, the Secretary may, after consulting with the Inspector General of the
Department of Health and Human Services, waive the exclusion under subsection
(a)(1), (a)(3), or (a)(4) of this section with respect to that program in the case of an
individual or entity that is the sole community physician or sole source of essential
specialized services in a community. The Secretary’s decision whether to waive the
exclusion shall not be reviewable.
…
(D) Subject to subparagraph (G), in the case of an exclusion of an individual or entity
under paragraph (1), (2), or (3) of subsection (b) of this section, the period of the
exclusion shall be 3 years, unless the Secretary determines in accordance with
published regulations that a shorter period is appropriate because of mitigating
circumstances or that a longer period is appropriate because of aggravating
circumstances.
…
(G) In the case of an exclusion of an individual under subsection (a) of this section
based on a conviction occurring on or after August 5, 1997, if the individual has
(before, on, or after August 5, 1997) been convicted—
(i) on one previous occasion of one or more offenses for which an exclusion may be
effected under such subsection, the period of the exclusion shall be not less than 10
years, or
(ii) on 2 or more previous occasions of one or more offenses for which an exclusion
may be effected under such subsection, the period of the exclusion shall be
permanent.
…
(f) Notice, hearing, and judicial review
(1) Subject to paragraph (2), any individual or entity that is excluded (or directed to be
excluded) from participation under this section is entitled to reasonable notice and
opportunity for a hearing thereon by the Secretary to the same extent as is provided in
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section 405(b) of this title, and to judicial review of the Secretary’s final decision after
such hearing as is provided in section 405(g) of this title, except that, in so applying
such sections and section 405(l) of this title, any reference therein to the Commissioner
of Social Security or the Social Security Administration shall be considered a reference
to the Secretary or the Department of Health and Human Services, respectively.
(2) Unless the Secretary determines that the health or safety of individuals receiving
services warrants the exclusion taking effect earlier, any individual or entity that is the
subject of an adverse determination under subsection (b)(7) of this section shall be
entitled to a hearing by an administrative law judge (as provided under section 405(b)
of this title) on the determination under subsection (b)(7) of this section before any
exclusion based upon the determination takes effect.
(3) The provisions of section 405(h) of this title shall apply with respect to this section
and sections 1320a-7a, 1320a-8, and 1320c-5 of this title to the same extent as it is
applicable with respect to subchapter II of this chapter, except that, in so applying such
section and section 405(l) of this title, any reference therein to the Commissioner of
Social Security shall be considered a reference to the Secretary.
(g) Application for termination of exclusion
(1) An individual or entity excluded (or directed to be excluded) from participation
under this section or section 1320a-7a of this title may apply to the Secretary, in the
manner specified by the Secretary in regulations and at the end of the minimum period
of exclusion provided under subsection (c)(3) of this section and at such other times as
the Secretary may provide, for termination of the exclusion effected under this section
or section 1320a-7a of this title.
(2) The Secretary may terminate the exclusion if the Secretary determines, on the basis
of the conduct of the applicant which occurred after the date of the notice of exclusion
or which was unknown to the Secretary at the time of the exclusion, that—
(A) there is no basis under subsection (a) or (b) of this section or section 1320a-7a(a)
of this title for a continuation of the exclusion, and
(B) there are reasonable assurances that the types of actions which formed the basis
for the original exclusion have not recurred and will not recur.
(3) The Secretary shall promptly notify each appropriate State agency administering or
supervising the administration of each State health care program (and, in the case of an
exclusion effected pursuant to subsection (a) of this section and to which section
824(a)(5) of Title 21 may apply, the Attorney General) of the fact and circumstances of
each termination of exclusion made under this subsection.
…
(i) “Convicted” defined

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For purposes of subsections (a) and (b) of this section, an individual or entity is
considered to have been “convicted” of a criminal offense—
(1) when a judgment of conviction has been entered against the individual or entity by a
Federal, State, or local court, regardless of whether there is an appeal pending or
whether the judgment of conviction or other record relating to criminal conduct has
been expunged;
(2) when there has been a finding of guilt against the individual or entity by a Federal,
State, or local court;
(3) when a plea of guilty or nolo contendere by the individual or entity has been
accepted by a Federal, State, or local court; or
(4) when the individual or entity has entered into participation in a first offender,
deferred adjudication, or other arrangement or program where judgment of conviction
has been withheld.
…
42 U.S.C. 1383 – Procedure for payment of benefits
(a) Time, manner, form, and duration of payments; representative payees; promulgation
of regulations
…
(B)(i) Any determination made under subparagraph (A) for payment of benefits to the
representative payee of an individual or eligible spouse shall be made on the basis
of—
(I) an investigation by the Commissioner of Social Security of the person to serve
as representative payee, which shall be conducted in advance of such payment,
and shall, to the extent practicable, include a face-to-face interview with such
person; and
(II) adequate evidence that such payment is in the interest of the individual or
eligible spouse (as determined by the Commissioner of Social Security in
regulations).
(ii) As part of the investigation referred to in clause (i)(I), the Commissioner of
Social Security shall—
(I) require the person being investigated to submit documented proof of the
identity of such person, unless information establishing such identity was
submitted with an application for benefits under subchapter II of this chapter,
subchapter VIII of this chapter, or this subchapter;
II) verify the social security account number (or employer identification number)
of such person;

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(III) determine whether such person has been convicted of a violation of section
408, 1011, or 1383a of this title;
(IV) obtain information concerning whether the person has been convicted of any
other offense under Federal or State law which resulted in imprisonment for more
than 1 year;
(V) obtain information concerning whether such person is a person described in
section 1382(e)(4)(A) of this title; and
(VI) determine whether payment of benefits to such person has been terminated
pursuant to subparagraph (A)(iii), whether the designation of such person as a
representative payee has been revoked pursuant to section 1007(a) of this title,
and whether certification of payment of benefits to such person has been revoked
pursuant to section 405(j) of this title, by reason of misuse of funds paid as
benefits under subchapter II of this chapter, subchapter VIII of this chapter, or this
subchapter.
(iii) Benefits of an individual may not be paid to any other person pursuant to
subparagraph (A)(ii) if—
(I) such person has previously been convicted as described in clause (ii)(III);
(II) except as provided in clause (iv), payment of benefits to such person pursuant
to subparagraph (A)(ii) has previously been terminated as described in clause
(ii)(VI), the designation of such person as a representative payee has been
revoked pursuant to section 1007(a) of this title, or certification of payment of
benefits to such person under section 405(j) of this title has previously been
revoked as described in section 405(j)(2)(B)(i)(VI) of this title;
(III) except as provided in clause (v), such person is a creditor of such individual
who provides such individual with goods or services for consideration;
(IV) the person has previously been convicted as described in clause (ii)(IV) of
this subparagraph, unless the Commissioner determines that the payment would
be appropriate notwithstanding the conviction; or
(V) such person is a person described in section 1382(e)(4)(A) of this title.
42 U.S.C. 1396u – Community supported living arrangements services
(h) Minimum protections
…
(B) Minimum protections
Interim and final requirements under subparagraph (A) shall assure, through methods
other than reliance on State licensure processes or the State quality assurance
programs under subsection (d) of this section, that—
(i) individuals receiving community supported living arrangements services are
protected from neglect, physical and sexual abuse, and financial exploitation;
(ii) a provider of community supported living arrangements services may not use
individuals who have been convicted of child or client abuse, neglect, or
mistreatment or of a felony involving physical harm to an individual and shall take
all reasonable steps to determine whether applicants for employment by the

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provider have histories indicating involvement in child or client abuse, neglect, or
mistreatment or a criminal record involving physical harm to an individual;
(iii) individuals or entities delivering such services are not unjustly enriched as a
result of abusive financial arrangements (such as owner lease-backs); and
(iv) individuals or entities delivering such services to clients, or relatives of such
individuals, are prohibited from being named beneficiaries of life insurance policies
purchased by (or on behalf of) such clients.
42 U.S.C. 1437n – Eligibility for assisted housing
…
(f) Ineligibility of individuals convicted of manufacturing or producing
methamphetamine on the premises
Notwithstanding any other provision of law, a public housing agency shall establish
standards for occupancy in public housing dwelling units and assistance under section
1437f of this title that—
(1) permanently prohibit occupancy in any public housing dwelling unit by, and
assistance under section 1437f of this title for, any person who has been convicted of
manufacturing or otherwise producing methamphetamine on the premises in violation
of any Federal or State law; and
(2) immediately and permanently terminate the tenancy in any public housing unit of,
and the assistance under section 1437f of this title for, any person who is convicted of
manufacturing or otherwise producing methamphetamine on the premises in violation
of any Federal or State law.
42 U.S.C. 2169 - Fingerprinting for criminal history record checks
(a) Persons subject to fingerprinting; submission of fingerprints to Attorney General;
costs; results of check
(1)(A)(i) The Commission shall require each individual or entity described in clause (ii)
to fingerprint each individual described in subparagraph (B) before the individual
described in subparagraph (B) is permitted access under subparagraph (B).
(ii) The individuals and entities referred to in clause (i) are individuals and entities
that, on or before the date on which an individual is permitted access under
subparagraph (B)-(I) are licensed or certified to engage in an activity subject to regulation by the
Commission;
(II) have filed an application for a license or certificate to engage in an activity
subject to regulation by the Commission; or
(III) have notified the Commission in writing of an intent to file an application for
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licensing, certification, permitting, or approval of a product or activity subject to
regulation by the Commission.
(B) The Commission shall require to be fingerprinted any individual who-(i) is permitted unescorted access to-(I) a utilization facility; or
(II) radioactive material or other property subject to regulation by the
Commission that the Commission determines to be of such significance to the
public health and safety or the common defense and security as to warrant
fingerprinting and background checks; or
(ii) is permitted access to safeguards information under section 2167 of this title.
(2) All fingerprints obtained by an individual or entity as required in paragraph (1) shall
be submitted to the Attorney General of the United States through the Commission for
identification and a criminal history records check.
(3) The costs of an identification or records check under paragraph (2) shall be paid by
the individual or entity required to conduct the fingerprinting under paragraph (1)(A).
(4) Notwithstanding any other provision of law-(A) the Attorney General may provide any result of an identification or records check
under paragraph (2) to the Commission; and
(B) the Commission, in accordance with regulations prescribed under this section,
may provide the results to the individual or entity required to conduct the
fingerprinting under paragraph (1)(A).
(b) Waiver
The Commission, by rule, may relieve persons from the obligations imposed by this
section, upon specified terms, conditions, and periods, if the Commission finds that such
action is consistent with its obligations to promote the common defense and security and
to protect the health and safety of the public.
(c) Regulations
For purposes of administering this section, the Commission shall prescribe requirements(1) to implement procedures for the taking of fingerprints;
(2) to establish the conditions for use of information received from the Attorney
General, in order-(A) to limit the redissemination of such information;
(B) to ensure that such information is used solely for the purpose of determining
whether an individual shall be permitted unescorted access to a utilization facility,
radioactive material, or other property described in subsection (a)(1)(B) of this
section or shall be permitted access to safeguards information under section 2167 of
this title;
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(C) to ensure that no final determination may be made solely on the basis of
information provided under this section involving-(i) an arrest more than 1 year old for which there is no information of the
disposition of the case; or
(ii) an arrest that resulted in dismissal of the charge or an acquittal; and
(D) to protect individuals subject to fingerprinting under this section from misuse of
the criminal history records; and
(3) to provide each individual subject to fingerprinting under this section with the right
to complete, correct, and explain information contained in the criminal history records
prior to any final adverse determination.
42 U.S.C. 5119a – Background checks
(a) In general
(1) A State may have in effect procedures (established by State statute or regulation)
that require qualified entities designated by the State to contact an authorized agency of
the State to request a nationwide background check for the purpose of determining
whether a provider has been convicted of a crime that bears upon the provider’s fitness
to have responsibility for the safety and well-being of children, the elderly, or
individuals with disabilities.
(2) The authorized agency shall access and review State and Federal criminal history
records through the national criminal history background check system and shall make
reasonable efforts to respond to the inquiry within 15 business days.
(3) In the absence of State procedures referred to in paragraph (1), a qualified entity
designated under paragraph (1) may contact an authorized agency of the State to
request national criminal fingerprint background checks. Qualified entities requesting
background checks under this paragraph shall comply with the guidelines set forth in
subsection (b) of this section and with procedures for requesting national criminal
fingerprint background checks, if any, established by the State.
(b) Guidelines
The procedures established under subsection (a) of this section shall require—
(1) that no qualified entity may request a background check of a provider under
subsection (a) of this section unless the provider first provides a set of fingerprints and
completes and signs a statement that—
(A) contains the name, address, and date of birth appearing on a valid identification
document (as defined in section 1028 of Title 18) of the provider;
(B) the provider has not been convicted of a crime and, if the provider has been
convicted of a crime, contains a description of the crime and the particulars of the
conviction;
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(C) notifies the provider that the entity may request a background check under
subsection (a) of this section;
(D) notifies the provider of the provider’s rights under paragraph (2); and
(E) notifies the provider that prior to the completion of the background check the
qualified entity may choose to deny the provider unsupervised access to a person to
whom the qualified entity provides care;
(2) that each provider who is the subject of a background check is entitled—
(A) to obtain a copy of any background check report; and
(B) to challenge the accuracy and completeness of any information contained in any
such report and obtain a prompt determination as to the validity of such challenge
before a final determination is made by the authorized agency;
(3) that an authorized agency, upon receipt of a background check report lacking
disposition data, shall conduct research in whatever State and local recordkeeping
systems are available in order to obtain complete data;
(4) that the authorized agency shall make a determination whether the provider has
been convicted of, or is under pending indictment for, a crime that bears upon the
provider’s fitness to have responsibility for the safety and well-being of children, the
elderly, or individuals with disabilities and shall convey that determination to the
qualified entity; and
(5) that any background check under subsection (a) of this section and the results
thereof shall be handled in accordance with the requirements of Public Law 92-544,
except that this paragraph does not apply to any request by a qualified entity for a
national criminal fingerprint background check pursuant to subsection (a)(3) of this
section.
42 U.S.C. 5119a (note)
Pilot Program for National Criminal History Background Checks and Feasibility Study
Pub.L. 108-21, Title I, § 108, Apr. 30, 2003, 117 Stat. 655, as amended Pub.L. 108-68, §
1, Aug. 1, 2003, 117 Stat. 883; Pub.L. 108-458, Title VI, § 6401, Dec. 17, 2004, 118 Stat.
3755; Pub.L. 109-162, Title XI, § 1197, Jan. 5, 2006, 119 Stat. 3131; Pub.L. 110-296, §
2, July 30, 2008, 122 Stat. 2974; Pub.L. 110-408, § 1, Oct. 13, 2008, 122 Stat. 4301,
provided that:
“(a) Establishment of pilot program.-“(1) In general.--Not later than 90 days after the date of the enactment of this Act [Apr.
30, 2003], the Attorney General shall establish a pilot program for volunteer groups to
obtain national and State criminal history background checks through a 10-fingerprint
check to be conducted utilizing State criminal records and the Integrated Automated
Fingerprint Identification system of the Federal Bureau of Investigation.

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“(2) State pilot program.-“(A) In general.--The Attorney General shall designate 3 States as participants in a
30-month State pilot program.
“(B) Volunteer organization requests.--A volunteer organization in one of the 3 States
participating in the State pilot program under this paragraph that is part of the Boys
and Girls Clubs of America, the National Mentoring Partnerships, or the National
Council of Youth Sports may submit a request for a 10-fingerprint check from the
participating State.
“(C) State check.--The participating State under this paragraph after receiving a
request under subparagraph (B) shall conduct a State background check and submit a
request that a Federal check be performed through the Integrated Automated
Fingerprint Identification System of the Federal Bureau of Investigation, to the
Attorney General, in a manner to be determined by the Attorney General.
“(D) Information provided.--Under procedures established by the Attorney General,
any criminal history record information resulting from the State and Federal check
under subparagraph (C) shall be provided to the State or National Center for Missing
and Exploited Children consistent with the National Child Protection Act [Pub.L.
103-209, Dec. 20, 1993, 107 Stat. 2490; which is principally classified to 42 U.S.C.A.
§ 5119 et seq.].
“(E) Costs.--A State may collect a fee to perform a criminal background check under
this paragraph which may not exceed the actual costs to the State to perform such a
check.
“(F) Timing.--For any background check performed under this paragraph, the State
shall provide the State criminal record information to the Attorney General within 7
days after receiving the request from the organization, unless the Attorney General
determines during the feasibility study that such a check cannot reasonably be
performed within that time period. The Attorney General shall provide the criminal
history records information to the National Center for Missing and Exploited
Children within 7 business days after receiving the request from the State.
“(3) Child safety pilot program.-“(A) In general.--The Attorney General shall establish a 78-month Child Safety Pilot
Program that shall provide for the processing of 200,000 10-fingerprint check
requests from organizations described in subparagraph (B) conducted through the
Integrated Automated Fingerprint Identification System of the Federal Bureau of
Investigation.
“(B) Participating organizations.-“(i) Eligible organizations.--Eligible organizations include-“(I) the Boys and Girls Clubs of America;
“(II) the MENTOR/National Mentoring Partnership;
“(III) the National Council of Youth Sports; and
“(IV) any nonprofit organization that provides care, as that term is defined in
section 5 of the National Child Protection Act of 1993 (42 U.S.C. 5119c), for
children.
“(ii) Pilot program.--The eligibility of an organization described in clause (i)(IV) to
participate in the pilot program established under this section [this note] shall be
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determined by the National Center for Missing and Exploited Children, with the
rejection or concurrence within 30 days of the Attorney General, according to
criteria established by such Center, including the potential number of applicants and
suitability of the organization to the intent of this section [this note]. If the Attorney
General fails to reject or concur within 30 days, the determination of the National
Center for Missing and Exploited Children shall be conclusive.
“(C) Applicants from participating organizations.--Participating organizations may
request background checks on applicants for positions as volunteers and employees
who will be working with children or supervising volunteers.
“(D) Procedures.--The Attorney General shall notify participating organizations of a
process by which the organizations may provide fingerprint cards to the Attorney
General.
“(E) Volunteer information required.--An organization authorized to request a
background check under this paragraph shall-“(i) forward to the Attorney General the volunteer's fingerprints; and
“(ii) Obtain a statement completed and signed by the volunteer that-“(I) sets out the provider or volunteer's name, address, date of birth appearing on a
valid identification document as defined in section 1028 of title 18, United States
Code, and a photocopy of the valid identifying document;
“(II) states whether the volunteer has a criminal record, and, if so, sets out the
particulars of such record;
“(III) notifies the volunteer that the Attorney General may perform a criminal
history background check and that the volunteer's signature to the statement
constitutes an acknowledgment that such a check may be conducted;
“(IV) notifies the volunteer that prior to and after the completion of the
background check, the organization may choose to deny the provider access to
children; and
“(V) notifies the volunteer of his right to correct an erroneous record held by the
Attorney General.
“(F) Timing.--For any background checks performed under this paragraph, the
Attorney General shall provide the criminal history records information to the
National Center for Missing and Exploited Children within 10 business days after
receiving the request from the organization.
“(G) Determinations of fitness.-“(i) In general.--Consistent with the privacy protections delineated in the National
Child Protection Act (42 U.S.C. 5119) [Pub.L. 103-209, Dec. 20, 1993, 107 Stat.
2490; which is principally classified to 42 U.S.C.A. § 5119 et seq.], the National
Center for Missing and Exploited Children may make a determination whether the
criminal history record information received in response to the criminal history
background checks conducted under this paragraph indicates that the provider or
volunteer has a criminal history record that renders the provider or volunteer unfit
to provide care to children based upon criteria established jointly, the National
Center for Missing and Exploited Children, the Boys and Girls Clubs of America,
the National Mentoring Partnership, and the National Council of Youth Sports.
“(ii) Child safety pilot program.--The National Center for Missing and Exploited

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Children shall convey that determination to the organizations making requests
under this paragraph.
“(4) Fees collected by Attorney General.--The Attorney General may collect a fee
which may not exceed $18 to cover the cost to the Federal Bureau of Investigation to
conduct the background check under paragraph (2) or (3).
“(b) Rights of volunteers.--Each volunteer who is the subject of a criminal history
background check under this section [this note] is entitled to contact the Attorney General
to initiate procedures to-“(1) obtain a copy of their criminal history record report; and
“(2) challenge the accuracy and completeness of the criminal history record information
in the report.
“(c) Authorization of appropriations.-“(1) In general.--There is authorized to be appropriated such sums as may be necessary
to the National Center for Missing and Exploited Children for fiscal years 2004 through
2008 to carry out the requirements of this section [this note].
“(2) State program.--There is authorized to be appropriated such sums as may be
necessary to the Attorney General for the States designated in subsection (a)(1) for
fiscal years 2004 and 2005 to establish and enhance finger print technology
infrastructure of the participating State.
“(d) Feasibility study for a system of background checks for employees and volunteers.-“(1) Study required.--The Attorney General shall conduct a feasibility study within 180
days after the date of the enactment of this Act [Apr. 30, 2003]. The study shall
examine, to the extent discernible, the following:
“(A) The current state of fingerprint capture and processing at the State and local level,
including the current available infrastructure, State system capacities, and the time for
each State to process a civil or volunteer print from the time of capture to submission to
the Federal Bureau of Investigation (FBI).
“(B) The intent of the States concerning participation in a nationwide system of criminal
background checks to provide information to qualified entities.
“(C) The number of volunteers, employees, and other individuals that would require a
fingerprint-based criminal background check.
“(D) The impact on the Integrated Automated Fingerprint Identification System (IAFIS)
of the Federal Bureau of Investigation in terms of capacity and impact on other users of
the system, including the effect on Federal Bureau of Investigation work practices and
staffing levels.
“(E) The current fees charged by the Federal Bureau of Investigation, States and local
agencies, and private companies to process fingerprints and conduct background checks.
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“(F) The existence of ‘model’ or best practice programs which could easily be expanded
and duplicated in other States.
“(G) The extent to which private companies are currently performing background checks
and the possibility of using private companies in the future to perform any of the
background check process, including, but not limited to, the capture and transmission of
fingerprints and fitness determinations.
“(H) The cost of development and operation of the technology and the infrastructure
necessary to establish a nationwide fingerprint-based and other criminal background
check system.
“(I) The extent of State participation in the procedures for background checks authorized
in the National Child Protection Act (Public Law 103-209) [Pub.L. 103-209, Dec. 20,
1993, 107 Stat. 2490; which is principally classified to 42 U.S.C.A. § 5119 et seq.], as
amended by the Volunteers for Children Act (sections 221 and 222 of Public Law 105251) [Pub.L. 105-251, Title II, Subtitle B, §§ 221 and 222, Oct. 9, 1998, 112 Stat. 1885].
“(J) The extent to which States currently provide access to nationwide criminal history
background checks to organizations that serve children.
“(K) The extent to which States currently permit volunteers to appeal adverse fitness
determinations, and whether similar procedures are required at the Federal level.
“(L) The implementation of the 2 pilot programs created in subsection (a).
“(M) Any privacy concerns that may arise from nationwide criminal background checks.
“(N) Any other information deemed relevant by the Department of Justice.
“(O) The extent of participation by eligible organizations in the state pilot program.
42 U.S.C. 13013 – Strengthening of court appointed special advocate program
...
(2) In general, the grant criteria established pursuant to paragraph (1) shall require that
a court-appointed special advocate program provide screening, training, and
supervision of court-appointed special advocates in accordance with standards
developed by the National Court-Appointed Special Advocate Association. Such
criteria may include the requirements that—
…
(D) a court-appointed special advocate program keep written records on the operation
of the program in general and on each applicant, volunteer, and case;
(E) a court-appointed special advocate program have written management and
personnel policies and procedures, screening requirements, and training curriculum;
(F) a court-appointed special advocate program not accept volunteers who have been
convicted of, have charges pending for, or have in the past been charged with, a
felony or misdemeanor involving a sex offense, violent act, child abuse or neglect, or
related acts that would pose risks to children or to the court-appointed special
advocate program’s credibility;
…
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42 U.S.C. 13041 – Requirement for background checks
(a) In general
(1) Each agency of the Federal Government, and every facility operated by the Federal
Government (or operated under contract with the Federal Government), that hires (or
contracts for hire) individuals involved with the provision to children under the age of
18 of child care services shall assure that all existing and newly-hired employees
undergo a criminal history background check. All existing staff shall receive such
checks not later than May 29, 1991. Except as provided in subsection (b)(3) of this
section, no additional staff shall be hired without a check having been completed.
(2) For the purposes of this section, the term “child care services” means child
protective services (including the investigation of child abuse and neglect reports),
social services, health and mental health care, child (day) care, education (whether or
not directly involved in teaching), foster care, residential care, recreational or
rehabilitative programs, and detention, correctional, or treatment services.
(b) Criminal history check
(1) A background check required by subsection (a) of this section shall be—
(A) based on a set of the employee’s fingerprints obtained by a law enforcement
officer and on other identifying information;
(B) conducted through the Identification Division of the Federal Bureau of
Investigation and through the State criminal history repositories of all States that an
employee or prospective employee lists as current and former residences in an
employment application; and
(C) initiated through the personnel programs of the applicable Federal agencies.
(2) The results of the background check shall be communicated to the employing
agency.
(3) An agency or facility described in subsection (a)(1) of this section may hire a staff
person provisionally prior to the completion of a background check if, at all times prior
to receipt of the background check during which children are in the care of the person,
the person is within the sight and under the supervision of a staff person with respect to
whom a background check has been completed.
(c) Applicable criminal histories
Any conviction for a sex crime, an offense involving a child victim, or a drug felony,
may be ground for denying employment or for dismissal of an employee in any of the
positions listed in subsection (a)(2) of this section. In the case of an incident in which an
individual has been charged with one of those offenses, when the charge has not yet been
disposed of, an employer may suspend an employee from having any contact with
children while on the job until the case is resolved. Conviction of a crime other than a sex
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crime may be considered if it bears on an individual’s fitness to have responsibility for
the safety and well-being of children.
(d) Employment applications
(1) Employment applications for individuals who are seeking work for an agency of the
Federal Government, or for a facility or program operated by (or through contract with)
the Federal Government, in any of the positions listed in subsection (a)(1) of this
section, shall contain a question asking whether the individual has ever been arrested
for or charged with a crime involving a child, and if so requiring a description of the
disposition of the arrest or charge. An application shall state that it is being signed
under penalty of perjury, with the applicable Federal punishment for perjury stated on
the application.
(2) A Federal agency seeking a criminal history record check shall first obtain the
signature of the employee or prospective employee indicating that the employee or
prospective employee has been notified of the employer’s obligation to require a record
check as a condition of employment and the employee’s right to obtain a copy of the
criminal history report made available to the employing Federal agency and the right to
challenge the accuracy and completeness of any information contained in the report.
(e) Encouragement of voluntary criminal history checks for others who may have contact
with children
Federal agencies and facilities are encouraged to submit identifying information for
criminal history checks on volunteers working in any of the positions listed in subsection
(a) of this section and on adult household members in places where child care or foster
care services are being provided in a home.
42 U.S.C. 13663 – Ineligibility of dangerous sex offenders for admission to public
housing
(a) In general
Notwithstanding any other provision of law, an owner of federally assisted housing shall
prohibit admission to such housing for any household that includes any individual who is
subject to a lifetime registration requirement under a State sex offender registration
program.
(b) Obtaining information
As provided in regulations issued by the Secretary to carry out this section—
(1) a public housing agency shall carry out criminal history background checks on
applicants for federally assisted housing and make further inquiry with State and local
agencies as necessary to determine whether an applicant for federally assisted housing

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is subject to a lifetime registration requirement under a State sex offender registration
program; and
(2) State and local agencies responsible for the collection or maintenance of criminal
history record information or information on persons required to register as sex
offenders shall comply with requests of public housing agencies for information
pursuant to this section.
(c) Requests by owners for PHAs to obtain information
A public housing agency may take any action under subsection (b) of this section
regarding applicants for, or tenants of, federally assisted housing other than federally
assisted housing described in subparagraph (A) or (B) of section 13664(a)(2) of this title,
but only if the housing is located within the jurisdiction of the agency and the owner of
such housing has requested that the agency take such action on behalf of the owner. Upon
such a request by the owner, the agency shall take the action requested under subsection
(b) of this section. The agency may not make any information obtained pursuant to the
action under subsection (b) of this section available to the owner but shall perform
determinations for the owner regarding screening, lease enforcement, and eviction based
on criteria supplied by the owner.
(d) Opportunity to dispute
Before an adverse action is taken with respect to an applicant for federally assisted
housing on the basis that an individual is subject to a lifetime registration requirement
under a State sex offender registration program, the public housing agency obtaining the
record shall provide the tenant or applicant with a copy of the registration information
and an opportunity to dispute the accuracy and relevance of that information.
…
42 U.S.C. 13726b – Federal regulation of prisoner transport companies
(a) In general
Not later than 180 days after December 21, 2000, the Attorney General, in consultation
with the American Correctional Association and the private prisoner transport industry,
shall promulgate regulations relating to the transportation of violent prisoners in or
affecting interstate commerce.
(b) Standards and requirements
The regulations shall include the following:
(1) Minimum standards for background checks and preemployment drug testing for
potential employees, including requiring criminal background checks, to disqualify
persons with a felony conviction or domestic violence conviction as defined by section

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921 of Title 18 for eligibility for employment. Preemployment drug testing will be in
accordance with applicable State laws.
…
42 U.S.C. 14071 - Jacob Wetterling Crimes Against Children and Sexually Violent
Offender Registration Program
(a) In general
(1) State guidelines
The Attorney General shall establish guidelines for State programs that require—
(A) a person who is convicted of a criminal offense against a victim who is a minor or
who is convicted of a sexually violent offense to register a current address for the
time period specified in subparagraph (A) of subsection (b)(6) of this section; and
(B) a person who is a sexually violent predator to register a current address for the
time period specified in subparagraph (B) of subsection (b)(6) of this section.
(2) Determination of sexually violent predator status; waiver; alternative measures
(A) In general
A determination of whether a person is a sexually violent predator for purposes of this
section shall be made by a court after considering the recommendation of a board
composed of experts in the behavior and treatment of sex offenders, victims’ rights
advocates, and representatives of law enforcement agencies.
(B) Waiver
The Attorney General may waive the requirements of subparagraph (A) if the
Attorney General determines that the State has established alternative procedures or
legal standards for designating a person as a sexually violent predator.
(C) Alternative measures
The Attorney General may also approve alternative measures of comparable or
greater effectiveness in protecting the public from unusually dangerous or recidivistic
sexual offenders in lieu of the specific measures set forth in this section regarding
sexually violent predators.
(3) Definitions
For purposes of this section:
(A) The term “criminal offense against a victim who is a minor” means any criminal
offense in a range of offenses specified by State law which is comparable to or which
exceeds the following range of offenses:
(i) kidnapping of a minor, except by a parent;
(ii) false imprisonment of a minor, except by a parent;
(iii) criminal sexual conduct toward a minor;
(iv) solicitation of a minor to engage in sexual conduct;
(v) use of a minor in a sexual performance;
(vi) solicitation of a minor to practice prostitution;
(vii) any conduct that by its nature is a sexual offense against a minor;

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(viii) production or distribution of child pornography, as described in section
2251, 2252, or 2252A of Title 18; or
(ix) an attempt to commit an offense described in any of clauses (i) through (vii), if
the State—
(I) makes such an attempt a criminal offense; and
(II) chooses to include such an offense in those which are criminal offenses
against a victim who is a minor for the purposes of this section.
For purposes of this subparagraph conduct which is criminal only because of the
age of the victim shall not be considered a criminal offense if the perpetrator is 18
years of age or younger.
(B) The term “sexually violent offense” means any criminal offense in a range of
offenses specified by State law which is comparable to or which exceeds the range of
offenses encompassed by aggravated sexual abuse or sexual abuse (as described
in sections 2241 and 2242 of Title 18 or as described in the State criminal code) or an
offense that has as its elements engaging in physical contact with another person with
intent to commit aggravated sexual abuse or sexual abuse (as described in such
sections of Title 18 or as described in the State criminal code).
(C) The term “sexually violent predator” means a person who has been convicted of a
sexually violent offense and who suffers from a mental abnormality or personality
disorder that makes the person likely to engage in predatory sexually violent offenses.
(D) The term “mental abnormality” means a congenital or acquired condition of a
person that affects the emotional or volitional capacity of the person in a manner that
predisposes that person to the commission of criminal sexual acts to a degree that
makes the person a menace to the health and safety of other persons.
(E) The term “predatory” means an act directed at a stranger, or a person with whom
a relationship has been established or promoted for the primary purpose of
victimization.
(F) The term “employed, carries on a vocation” includes employment that is full-time
or part-time for a period of time exceeding 14 days or for an aggregate period of time
exceeding 30 days during any calendar year, whether financially compensated,
volunteered, or for the purpose of government or educational benefit.
(G) The term “student” means a person who is enrolled on a full-time or part-time
basis, in any public or private educational institution, including any secondary school,
trade, or professional institution, or institution of higher education.
(b) Registration requirement upon release, parole, supervised release, or probation
An approved State registration program established under this section shall contain the
following elements:
(1) Duties of responsible officials
(A) If a person who is required to register under this section is released from prison,
or placed on parole, supervised release, or probation, a State prison officer, the court,
or another responsible officer or official, shall—
(i) inform the person of the duty to register and obtain the information required for
such registration;
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(ii) inform the person that if the person changes residence address, the person shall
report the change of address as provided by State law;
(iii) inform the person that if the person changes residence to another State, the
person shall report the change of address as provided by State law and comply with
any registration requirement in the new State of residence, and inform the person
that the person must also register in a State where the person is employed, carries
on a vocation, or is a student;
(iv) obtain fingerprints and a photograph of the person if these have not already
been obtained in connection with the offense that triggers registration; and
(v) require the person to read and sign a form stating that the duty of the person to
register under this section has been explained.
(B) In addition to the requirements of subparagraph (A), for a person required to
register under subparagraph (B) of subsection (a)(1) of this section, the State prison
officer, the court, or another responsible officer or official, as the case may be, shall
obtain the name of the person, identifying factors, anticipated future residence,
offense history, and documentation of any treatment received for the mental
abnormality or personality disorder of the person.
(2) Transfer of information to State and FBI; participation in National Sex Offender
Registry
(A) State reporting
State procedures shall ensure that the registration information is promptly made
available to a law enforcement agency having jurisdiction where the person expects to
reside and entered into the appropriate State records or data system. State procedures
shall also ensure that conviction data and fingerprints for persons required to register
are promptly transmitted to the Federal Bureau of Investigation.
(B) National reporting
A State shall participate in the national database established under section
14072(b) of this title in accordance with guidelines issued by the Attorney General,
including transmission of current address information and other information on
registrants to the extent provided by the guidelines.
(3) Verification
(A) For a person required to register under subparagraph (A) of subsection (a)(1) of
this section, State procedures shall provide for verification of address at least
annually.
(B) The provisions of subparagraph (A) shall be applied to a person required to
register under subparagraph (B) of subsection (a)(1) of this section, except that such
person must verify the registration every 90 days after the date of the initial release or
commencement of parole.
(4) Notification of local law enforcement agencies of changes in address
A change of address by a person required to register under this section shall be reported
by the person in the manner provided by State law. State procedures shall ensure that
the updated address information is promptly made available to a law enforcement
agency having jurisdiction where the person will reside and entered into the appropriate
State records or data system.
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(5) Registration for change of address to another State
A person who has been convicted of an offense which requires registration under this
section and who moves to another State, shall report the change of address to the
responsible agency in the State the person is leaving, and shall comply with any
registration requirement in the new State of residence. The procedures of the State the
person is leaving shall ensure that notice is provided promptly to an agency responsible
for registration in the new State, if that State requires registration.
(6) Length of registration
A person required to register under subsection (a)(1) of this section shall continue to
comply with this section, except during ensuing periods of incarceration, until—
(A) 10 years have elapsed since the person was released from prison or placed on
parole, supervised release, or probation; or
(B) for the life of that person if that person—
(i) has 1 or more prior convictions for an offense described in subsection (a)(1)(A)
of this section; or
(ii) has been convicted of an aggravated offense described in subsection (a)(1)(A)
of this section; or
(iii) has been determined to be a sexually violent predator pursuant to subsection
(a)(2) of this section.
(7) Registration of out-of-State offenders, Federal offenders, persons sentenced by
courts martial, and offenders crossing State borders
As provided in guidelines issued by the Attorney General, each State shall include in its
registration program residents who were convicted in another State and shall ensure
that procedures are in place to accept registration information from—
(A) residents who were convicted in another State, convicted of a Federal offense, or
sentenced by a court martial; and
(B) nonresident offenders who have crossed into another State in order to work or
attend school.
(c) Registration of offender crossing State border
Any person who is required under this section to register in the State in which such
person resides shall also register in any State in which the person is employed, carries on
a vocation, or is a student.
(d) Penalty
A person required to register under a State program established pursuant to this section
who knowingly fails to so register and keep such registration current shall be subject to
criminal penalties in any State in which the person has so failed.
(e) Release of information

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(1) The information collected under a State registration program may be disclosed for
any purpose permitted under the laws of the State.
(2) The State or any agency authorized by the State shall release relevant information
that is necessary to protect the public concerning a specific person required to register
under this section, except that the identity of a victim of an offense that requires
registration under this section shall not be released. The release of information under
this paragraph shall include the maintenance of an Internet site containing such
information that is available to the public and instructions on the process for correcting
information that a person alleges to be erroneous.
(f) Immunity for good faith conduct
Law enforcement agencies, employees of law enforcement agencies and independent
contractors acting at the direction of such agencies, and State officials shall be immune
from liability for good faith conduct under this section.
(g) Compliance
(1) Compliance date
Each State shall have not more than 3 years from September 13, 1994, in which to
implement this section, except that the Attorney General may grant an additional 2
years to a State that is making good faith efforts to implement this section.
(2) Ineligibility for funds
(A) A State that fails to implement the program as described in this section shall not
receive 10 percent of the funds that would otherwise be allocated to the State
under section 3756 of this title.
(B) Reallocation of funds
Any funds that are not allocated for failure to comply with this section shall be
reallocated to States that comply with this section.
(h) Fingerprints
Each requirement to register under this section shall be deemed to also require the
submission of a set of fingerprints of the person required to register, obtained in
accordance with regulations prescribed by the Attorney General under section 14072(h)of
this title.
…
(j) Notice of enrollment at or employment by institutions of higher education
(1) Notice by offenders
(A) In general

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In addition to any other requirements of this section, any person who is required to
register in a State shall provide notice as required under State law—
(i) of each institution of higher education in that State at which the person is
employed, carries on a vocation, or is a student; and
(ii) of each change in enrollment or employment status of such person at an
institution of higher education in that State.
(B) Change in status
A change in status under subparagraph (A)(ii) shall be reported by the person in the
manner provided by State law. State procedures shall ensure that the updated
information is promptly made available to a law enforcement agency having
jurisdiction where such institution is located and entered into the appropriate State
records or data system.
(2) State reporting
State procedures shall ensure that the registration information collected under
paragraph (1)-(A) is promptly made available to a law enforcement agency having jurisdiction
where such institution is located; and
(B) entered into the appropriate State records or data system.
(3) Request
Nothing in this subsection shall require an educational institution to request such
information from any State.
42 U.S.C. 14072 – FBI database
(a) Definitions
For purposes of this section—
(1) the term “FBI” means the Federal Bureau of Investigation;
(2) the terms “criminal offense against a victim who is a minor”, “sexually violent
offense”, “sexually violent predator”, “mental abnormality”, “predatory”, “employed,
carries on a vocation”, and “student” have the same meanings as in section
14071(a)(3) of this title; and
(3) the term “minimally sufficient sexual offender registration program” means any
State sexual offender registration program that—
(A) requires the registration of each offender who is convicted of an offense in a
range of offenses specified by State law which is comparable to or exceeds that
described in subparagraph (A) or (B) of section 14071(a)(1) of this title;
(B) participates in the national database established under subsection (b) of this
section in conformity with guidelines issued by the Attorney General;
(C) provides for verification of address at least annually;

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(D) requires that each person who is required to register under subparagraph (A) shall
do so for a period of not less than 10 years beginning on the date that such person was
released from prison or placed on parole, supervised release, or probation.
(b) Establishment
The Attorney General shall establish a national database at the Federal Bureau of
Investigation to track the whereabouts and movement of—
(1) each person who has been convicted of a criminal offense against a victim who is a
minor;
(2) each person who has been convicted of a sexually violent offense; and
(3) each person who is a sexually violent predator.
(c) Registration requirement
Each person described in subsection (b) of this section who resides in a State that has not
established a minimally sufficient sexual offender registration program shall register a
current address, fingerprints of that person, and a current photograph of that person with
the FBI for inclusion in the database established under subsection (b) of this section for
the time period specified under subsection (d) of this section.
(d) Length of registration
A person described in subsection (b) of this section who is required to register under
subsection (c) of this section shall, except during ensuing periods of incarceration,
continue to comply with this section—
(1) until 10 years after the date on which the person was released from prison or placed
on parole, supervised release, or probation; or
(2) for the life of the person, if that person—
(A) has 2 or more convictions for an offense described in subsection (b) of this
section;
(B) has been convicted of aggravated sexual abuse, as defined in section 2241 of Title
18 or in a comparable provision of State law; or
(C) has been determined to be a sexually violent predator.
(e) Verification
(1) Persons convicted of an offense against a minor or a sexually violent offense
In the case of a person required to register under subsection (c) of this section, the FBI
shall, during the period in which the person is required to register under subsection (d)
of this section, verify the person’s address in accordance with guidelines that shall be
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promulgated by the Attorney General. Such guidelines shall ensure that address
verification is accomplished with respect to these individuals and shall require the
submission of fingerprints and photographs of the individual.
(2) Sexually violent predators
Paragraph (1) shall apply to a person described in subsection (b)(3) of this section,
except that such person must verify the registration once every 90 days after the date of
the initial release or commencement of parole of that person.
(f) Community notification
(1) In general
Subject to paragraph (2), the FBI may release relevant information concerning a person
required to register under subsection (c) of this section that is necessary to protect the
public.
(2) Identity of victim
In no case shall the FBI release the identity of any victim of an offense that requires
registration by the offender with the FBI.
(g) Notification of FBI of changes in residence
(1) Establishment of new residence
For purposes of this section, a person shall be deemed to have established a new
residence during any period in which that person resides for not less than 10 days.
(2) Persons required to register with the FBI
Each establishment of a new residence, including the initial establishment of a
residence immediately following release from prison, or placement on parole,
supervised release, or probation, by a person required to register under subsection (c) of
this section shall be reported to the FBI not later than 10 days after that person
establishes a new residence.
(3) Individual registration requirement
A person required to register under subsection (c) of this section or under a State sexual
offender registration program, including a program established under section 14071 of
this title, who changes address to a State other than the State in which the person
resided at the time of the immediately preceding registration shall, not later than 10
days after that person establishes a new residence, register a current address,
fingerprints, and photograph of that person, for inclusion in the appropriate database,
with—
(A) the FBI; and
(B) the State in which the new residence is established.
(4) State registration requirement

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Any time any State agency in a State with a minimally sufficient sexual offender
registration program, including a program established under section 14071 of this title,
is notified of a change of address by a person required to register under such program
within or outside of such State, the State shall notify—
(A) the law enforcement officials of the jurisdiction to which, and the jurisdiction
from which, the person has relocated; and
(B) the FBI.
(5) Verification
(A) Notification of local law enforcement officials
The FBI shall ensure that State and local law enforcement officials of the jurisdiction
from which, and the State and local law enforcement officials of the jurisdiction to
which, a person required to register under subsection (c) of this section relocates are
notified of the new residence of such person.
(B) Notification of FBI
A State agency receiving notification under this subsection shall notify the FBI of the
new residence of the offender.
(C) Verification
(i) State agencies
If a State agency cannot verify the address of or locate a person required to register
with a minimally sufficient sexual offender registration program, including a
program established under section 14071 of this title, the State shall immediately
notify the FBI.
(ii) FBI
If the FBI cannot verify the address of or locate a person required to register under
subsection (c) of this section or if the FBI receives notification from a State under
clause (i), the FBI shall—
(I) classify the person as being in violation of the registration requirements of the
national database; and
(II) add the name of the person to the National Crime Information Center Wanted
person file and create a wanted persons record: Provided, That an arrest warrant
which meets the requirements for entry into the file is issued in connection with
the violation.
(h) Fingerprints
(1) FBI registration
For each person required to register under subsection (c) of this section, fingerprints
shall be obtained and verified by the FBI or a local law enforcement official pursuant to
regulations issued by the Attorney General.
(2) State registration systems
In a State that has a minimally sufficient sexual offender registration program,
including a program established under section 14071 of this title, fingerprints required
to be registered with the FBI under this section shall be obtained and verified in
accordance with State requirements. The State agency responsible for registration shall
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ensure that the fingerprints and all other information required to be registered is
registered with the FBI.
(i) Penalty
A person who is—
(1) required to register under paragraph (1), (2), or (3) of subsection (g) of this section
and knowingly fails to comply with this section;
(2) required to register under a sexual offender registration program in the person’s
State of residence and knowingly fails to register in any other State in which the person
is employed, carries on a vocation, or is a student;
(3) described in section 4042(c)(4) of title 18, and knowingly fails to register in any
State in which the person resides, is employed, carries on a vocation, or is a student
following release from prison or sentencing to probation; or
(4) sentenced by a court martial for conduct in a category specified by the Secretary of
Defense under section 115(a)(8)(C) of title I of Public Law 105-119, and knowingly
fails to register in any State in which the person resides, is employed, carries on a
vocation, or is a student following release from prison or sentencing to probation, shall,
in the case of a first offense under this subsection, be imprisoned for not more than 1
year and, in the case of a second or subsequent offense under this subsection, be
imprisoned for not more than 10 years.
(j) Release of information
The information collected by the FBI under this section shall be disclosed by the FBI—
(1) to Federal, State, and local criminal justice agencies for—
(A) law enforcement purposes; and
(B) community notification in accordance with section 14071(d)(3) of this title; and
(2) to Federal, State, and local governmental agencies responsible for conducting
employment-related background checks under section 5119a of this title.
(k) Notification upon release
Any State not having established a program described in subsection (a)(3) of this section
must—
(1) upon release from prison, or placement on parole, supervised release, or probation,
notify each offender who is convicted of an offense described in subparagraph
(A) or (B) of section 14071(a)(1) of this title of their duty to register with the FBI; and

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(2) notify the FBI of the release of each offender who is convicted of an offense
described in subparagraph (A) or (B) of section 14071(a)(1) of this title.
42 U.S.C. 16911 – Relevant definitions, including Amie Zyla expansion of sex
offender definition and expanded inclusion of child predators
In this subchapter the following definitions apply:
(1) Sex offender
The term “sex offender” means an individual who was convicted of a sex offense.
(2) Tier I sex offender
The term “tier I sex offender” means a sex offender other than a tier II or tier III sex
offender.
(3) Tier II sex offender
The term “tier II sex offender” means a sex offender other than a tier III sex offender
whose offense is punishable by imprisonment for more than 1 year and—
(A) is comparable to or more severe than the following offenses, when committed
against a minor, or an attempt or conspiracy to commit such an offense against a
minor:
(i) sex trafficking (as described in section 1591 of Title 18);
(ii) coercion and enticement (as described in section 2422(b) of Title 18);
(iii) transportation with intent to engage in criminal sexual activity (as described in
section 2423(a)) of Title 18;
(iv) abusive sexual contact (as described in section 2244 of Title 18);
(B) involves—
(i) use of a minor in a sexual performance;
(ii) solicitation of a minor to practice prostitution; or
(iii) production or distribution of child pornography; or
(C) occurs after the offender becomes a tier I sex offender.
(4) Tier III sex offender
The term “tier III sex offender” means a sex offender whose offense is punishable by
imprisonment for more than 1 year and—
(A) is comparable to or more severe than the following offenses, or an attempt or
conspiracy to commit such an offense:
(i) aggravated sexual abuse or sexual abuse (as described in sections 2241 and 2242
of Title 18); or
(ii) abusive sexual contact (as described in section 2244 of Title 18) against a minor
who has not attained the age of 13 years;
(B) involves kidnapping of a minor (unless committed by a parent or guardian); or
(C) occurs after the offender becomes a tier II sex offender.
(5) Amie Zyla expansion of sex offense definition
(A) Generally
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Except as limited by subparagraph (B) or (C), the term “ sex offense” means—
(i) a criminal offense that has an element involving a sexual act or sexual contact
with another;
(ii) a criminal offense that is a specified offense against a minor;
(iii) a Federal offense (including an offense prosecuted under section 1152 or 1153
of Title 18) under section 1591, or chapter 109A, 110 (other than section 2257,
2257A, or 2258), or 117, of Title 18;
(iv) a military offense specified by the Secretary of Defense under section
115(a)(8)(C)(i) of Public Law 105-119 (10 U.S.C. 951 note); or
(v) an attempt or conspiracy to commit an offense described in clauses (i) through
(iv).
(B) Foreign convictions
A foreign conviction is not a sex offense for the purposes of this subchapter if it was
not obtained with sufficient safeguards for fundamental fairness and due process for
the accused under guidelines or regulations established under section 16912 of this
title.
(C) Offenses involving consensual sexual conduct
An offense involving consensual sexual conduct is not a sex offense for the purposes
of this subchapter if the victim was an adult, unless the adult was under the custodial
authority of the offender at the time of the offense, or if the victim was at least 13
years old and the offender was not more than 4 years older than the victim.
(6) Criminal offense
The term “criminal offense” means a State, local, tribal, foreign, or military offense (to
the extent specified by the Secretary of Defense under section 115(a)(8)(C)(i) of Public
Law 105-119 (10 U.S.C. 951 note)) or other criminal offense.
(7) Expansion of definition of “specified offense against a minor” to include all
offenses by child predators
The term “specified offense against a minor” means an offense against a minor that
involves any of the following:
(A) An offense (unless committed by a parent or guardian) involving kidnapping.
(B) An offense (unless committed by a parent or guardian) involving false
imprisonment.
(C) Solicitation to engage in sexual conduct.
(D) Use in a sexual performance.
(E) Solicitation to practice prostitution.
(F) Video voyeurism as described in section 1801 of Title 18.
(G) Possession, production, or distribution of child pornography.
(H) Criminal sexual conduct involving a minor, or the use of the Internet to facilitate
or attempt such conduct.
(I) Any conduct that by its nature is a sex offense against a minor.
(8) Convicted as including certain juvenile adjudications
The term “convicted” or a variant thereof, used with respect to a sex offense, includes
adjudicated delinquent as a juvenile for that offense, but only if the offender is 14 years
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of age or older at the time of the offense and the offense adjudicated was comparable to
or more severe than aggravated sexual abuse (as described in section 2241 of Title 18),
or was an attempt or conspiracy to commit such an offense.
(9) Sex offender registry
The term “sex offender registry” means a registry of sex offenders, and a notification
program, maintained by a jurisdiction.
(10) Jurisdiction
The term “jurisdiction” means any of the following:
(A) A State.
(B) The District of Columbia.
(C) The Commonwealth of Puerto Rico.
(D) Guam.
(E) American Samoa.
(F) The Northern Mariana Islands.
(G) The United States Virgin Islands.
(H) To the extent provided and subject to the requirements of section 16927 of this
title, a federally recognized Indian tribe.
(11) Student
The term “student” means an individual who enrolls in or attends an educational
institution, including (whether public or private) a secondary school, trade or
professional school, and institution of higher education.
(12) Employee
The term “employee” includes an individual who is self-employed or works for any
other entity, whether compensated or not.
(13) Resides
The term “resides” means, with respect to an individual, the location of the individual’s
home or other place where the individual habitually lives.
(14) Minor
The term “minor” means an individual who has not attained the age of 18 years.
42 U.S.C. 16912 – Registry requirements for jurisdictions
(a) Jurisdiction to maintain a registry
Each jurisdiction shall maintain a jurisdiction-wide sex offender registry conforming to
the requirements of this subchapter.
(b) Guidelines and regulations

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The Attorney General shall issue guidelines and regulations to interpret and implement
this subchapter.
42 U.S.C. 16913 – Registry requirements for sex offenders
(a) In general
A sex offender shall register, and keep the registration current, in each jurisdiction where
the offender resides, where the offender is an employee, and where the offender is a
student. For initial registration purposes only, a sex offender shall also register in the
jurisdiction in which convicted if such jurisdiction is different from the jurisdiction of
residence.
(b) Initial registration
The sex offender shall initially register—
(1) before completing a sentence of imprisonment with respect to the offense giving
rise to the registration requirement; or
(2) not later than 3 business days after being sentenced for that offense, if the sex
offender is not sentenced to a term of imprisonment.
(c) Keeping the registration current
A sex offender shall, not later than 3 business days after each change of name, residence,
employment, or student status, appear in person in at least 1 jurisdiction involved
pursuant to subsection (a) of this section and inform that jurisdiction of all changes in the
information required for that offender in the sex offender registry. That jurisdiction shall
immediately provide that information to all other jurisdictions in which the offender is
required to register.
(d) Initial registration of sex offenders unable to comply with subsection (b) of this
section
The Attorney General shall have the authority to specify the applicability of the
requirements of this subchapter to sex offenders convicted before July 27, 2006 or its
implementation in a particular jurisdiction, and to prescribe rules for the registration of
any such sex offenders and for other categories of sex offenders who are unable to
comply with subsection (b) of this section.
(e) State penalty for failure to comply
Each jurisdiction, other than a Federally recognized Indian tribe, shall provide a criminal
penalty that includes a maximum term of imprisonment that is greater than 1 year for the
failure of a sex offender to comply with the requirements of this subchapter.
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42 U.S.C. 16914 – Information required in registration
(a) Provided by the offender
The sex offender shall provide the following information to the appropriate official for
inclusion in the sex offender registry:
(1) The name of the sex offender (including any alias used by the individual).
(2) The Social Security number of the sex offender.
(3) The address of each residence at which the sex offender resides or will reside.
(4) The name and address of any place where the sex offender is an employee or will be
an employee.
(5) The name and address of any place where the sex offender is a student or will be a
student.
(6) The license plate number and a description of any vehicle owned or operated by the
sex offender.
(7) Any other information required by the Attorney General.
(b) Provided by the jurisdiction
The jurisdiction in which the sex offender registers shall ensure that the following
information is included in the registry for that sex offender:
(1) A physical description of the sex offender.
(2) The text of the provision of law defining the criminal offense for which the sex
offender is registered.
(3) The criminal history of the sex offender, including the date of all arrests and
convictions; the status of parole, probation, or supervised release; registration status;
and the existence of any outstanding arrest warrants for the sex offender.
(4) A current photograph of the sex offender.
(5) A set of fingerprints and palm prints of the sex offender.
(6) A DNA sample of the sex offender.
(7) A photocopy of a valid driver’s license or identification card issued to the sex
offender by a jurisdiction.
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(8) Any other information required by the Attorney General.
42 U.S.C. 16915 – Duration of registration requirement
(a) Full registration period
A sex offender shall keep the registration current for the full registration period
(excluding any time the sex offender is in custody or civilly committed) unless the
offender is allowed a reduction under subsection (b) of this section. The full registration
period is—
(1) 15 years, if the offender is a tier I sex offender;
(2) 25 years, if the offender is a tier II sex offender; and
(3) the life of the offender, if the offender is a tier III sex offender.
(b) Reduced period for clean record
(1) Clean record
The full registration period shall be reduced as described in paragraph (3) for a sex
offender who maintains a clean record for the period described in paragraph (2) by—
(A) not being convicted of any offense for which imprisonment for more than 1 year
may be imposed;
(B) not being convicted of any sex offense;
(C) successfully completing any periods of supervised release, probation, and parole;
and
(D) successfully completing of an appropriate sex offender treatment program
certified by a jurisdiction or by the Attorney General.
(2) Period
In the case of—
(A) a tier I sex offender, the period during which the clean record shall be maintained
is 10 years; and
(B) a tier III sex offender adjudicated delinquent for the offense which required
registration in a sex registry under this subchapter, the period during which the clean
record shall be maintained is 25 years.
(3) Reduction
In the case of—
(A) a tier I sex offender, the reduction is 5 years;
(B) a tier III sex offender adjudicated delinquent, the reduction is from life to that
period for which the clean record under paragraph (2) is maintained.

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42 U.S.C. 16915a – Direction to the Attorney General
(a) Requirement that sex offenders provide certain Internet related information to sex
offender registries
The Attorney General, using the authority provided in section 16914(a)(7) of this title,
shall require that each sex offender provide to the sex offender registry those Internet
identifiers the sex offender uses or will use of any type that the Attorney General
determines to be appropriate under this subchapter. These records of Internet identifiers
shall be subject to the Privacy Act (5 U.S.C. 552a) to the same extent as the other records
in the National Sex Offender Registry.
(b) Timeliness of reporting of information
The Attorney General, using the authority provided in section 16912(b) of this title, shall
specify the time and manner for keeping current information required to be provided
under this section.
(c) Nondisclosure to general public
The Attorney General, using the authority provided in section 16918(b)(4) of this title,
shall exempt from disclosure all information provided by a sex offender under subsec.(a).
(d) Notice to sex offenders of new requirements
The Attorney General shall ensure that procedures are in place to notify each sex offender
of changes in requirements that apply to that sex offender as a result of the
implementation of this section.
(e) Definitions
(1) Of “social networking website”
As used in this Act, the term “ social networking website”—
(A) means an Internet website—
(i) that allows users, through the creation of web pages or profiles or by other
means, to provide information about themselves that is available to the public or to
other users; and
(ii) that offers a mechanism for communication with other users where such users
are likely to include a substantial number of minors; and
(iii) whose primary purpose is to facilitate online social interactions; and
(B) includes any contractors or agents used by the website to act on behalf of the
website in carrying out the purposes of this Act.
(2) Of “Internet identifiers”

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As used in this Act, the term “ Internet identifiers” means electronic mail addresses and
other designations used for self-identification or routing in Internet communication or
posting.
(3) Other terms
A term defined for the purposes of this subchapter has the same meaning in this Act.
42 U.S.C. 16915b – Checking system for social networking websites
(a) In general
(1) Secure system for comparisons
The Attorney General shall establish and maintain a secure system that permits social
networking websites to compare the information contained in the National Sex
Offender Registry with the Internet identifiers of users of the social networking
websites, and view only those Internet identifiers that match. The system—
(A) shall not require or permit any social networking website to transmit Internet
identifiers of its users to the operator of the system, and
(B) shall use secure procedures that preserve the secrecy of the information made
available by the Attorney General, including protection measures that render the
Internet identifiers and other data elements indecipherable.

(2) Provision of information relating to identity
Upon receiving a matched Internet identifier, the social networking website may make
a request of the Attorney General for, and the Attorney General shall provide promptly,
information related to the identity of the individual that has registered the matched
Internet identifier. This information is limited to the name, sex, resident address,
photograph, and physical description.
(b) Qualification for use of system
A social networking website seeking to use the system shall submit an application to the
Attorney General which provides—
(1) the name and legal status of the website;
(2) the contact information for the website;
(3) a description of the nature and operations of the website;
(4) a statement explaining why the website seeks to use the system;
(5) a description of policies and procedures to ensure that—

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(A) any individual who is denied access to that website on the basis of information
obtained through the system is promptly notified of the basis for the denial and has
the ability to challenge the denial of access; and
(B) if the social networking website finds that information is inaccurate, incomplete,
or cannot be verified, the site immediately notifies the appropriate State registry and
the Department of Justice, so that they may delete or correct that information in the
respective State and national databases;
(6) the identity and address of, and contact information for, any contractor that will be
used by the social networking website to use the system; and
(7) such other information or attestations as the Attorney General may require to ensure
that the website will use the system—
(A) to protect the safety of the users of such website; and
(B) for the limited purpose of making the automated comparison described in
subsection (a).
(c) Searches against the system
(1) Frequency of use of the system
A social networking website approved by the Attorney General to use the system may
conduct searches under the system as frequently as the Attorney General may allow.
(2) Authority of Attorney General to suspend use
The Attorney General may deny, suspend, or terminate use of the system by a social
networking website that—
(A) provides false information in its application for use of the system;
(B) may be using or seeks to use the system for any unlawful or improper purpose;
(C) fails to comply with the procedures required under subsection (b)(5); or
(D) uses information obtained from the system in any way that is inconsistent with
the purposes of this Act.
(3) Limitation on release of Internet identifiers
(A) No public release
Neither the Attorney General nor a social networking website approved to use the
system may release to the public any list of the Internet identifiers of sex offenders
contained in the system.
(B) Additional limitations
The Attorney General shall limit the release of information obtained through the use
of the system established under subsection (a) by social networking websites
approved to use such system.
(C) Strict adherence to limitation
The use of the system established under subsection (a) by a social networking website
shall be conditioned on the website’s agreement to observe the limitations required
under this paragraph.
(D) Rule of construction
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This subsection shall not be construed to limit the authority of the Attorney General
under any other provision of law to conduct or to allow searches or checks against sex
offender registration information.
(4) Payment of fee
A social networking website approved to use the system shall pay any fee established
by the Attorney General for use of the system.
(5) Limitation on liability
(A) In general
A civil claim against a social networking website, including any director, officer,
employee, parent, contractor, or agent of that social networking website, arising from
the use by such website of the National Sex Offender Registry, may not be brought in
any Federal or State court.
(B) Intentional, reckless, or other misconduct
Subparagraph (A) does not apply to a claim if the social networking website, or a
director, officer, employee, parent, contractor, or agent of that social networking
website—
(i) engaged in intentional misconduct; or
(ii) acted, or failed to act—
(I) with actual malice;
(II) with reckless disregard to a substantial risk of causing injury without legal
justification; or
(III) for a purpose unrelated to the performance of any responsibility or function
described in paragraph (3).
(C) Minimizing access
A social networking website shall minimize the number of employees that are
provided access to the Internet identifiers for which a match has been found through
the system.
(6) Rule of construction
Nothing in this section shall be construed to require any Internet website, including a
social networking website, to use the system, and no Federal or State liability, or any
other actionable adverse consequence, shall be imposed on such website based on its
decision not to do so.
42 U.S.C. 16916 – Periodic in person verification
A sex offender shall appear in person, allow the jurisdiction to take a current photograph,
and verify the information in each registry in which that offender is required to be
registered not less frequently than—
(1) each year, if the offender is a tier I sex offender;
(2) every 6 months, if the offender is a tier II sex offender; and

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(3) every 3 months, if the offender is a tier III sex offender.
42 U.S.C. 16918 – Public access to sex offender information through the Internet
(a) In general
Except as provided in this section, each jurisdiction shall make available on the Internet,
in a manner that is readily accessible to all jurisdictions and to the public, all information
about each sex offender in the registry. The jurisdiction shall maintain the Internet site in
a manner that will permit the public to obtain relevant information for each sex offender
by a single query for any given zip code or geographic radius set by the user. The
jurisdiction shall also include in the design of its Internet site all field search capabilities
needed for full participation in the Dru Sjodin National Sex Offender Public Website and
shall participate in that website as provided by the Attorney General.
(b) Mandatory exemptions
A jurisdiction shall exempt from disclosure—
(1) the identity of any victim of a sex offense;
(2) the Social Security number of the sex offender;
(3) any reference to arrests of the sex offender that did not result in conviction; and
(4) any other information exempted from disclosure by the Attorney General.
(c) Optional exemptions
A jurisdiction may exempt from disclosure—
(1) any information about a tier I sex offender convicted of an offense other than a
specified offense against a minor;
(2) the name of an employer of the sex offender;
(3) the name of an educational institution where the sex offender is a student; and
(4) any other information exempted from disclosure by the Attorney General.
(d) Links
The site shall include, to the extent practicable, links to sex offender safety and education
resources.
(e) Correction of errors
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The site shall include instructions on how to seek correction of information that an
individual contends is erroneous.
(f) Warning
The site shall include a warning that information on the site should not be used to
unlawfully injure, harass, or commit a crime against any individual named in the registry
or residing or working at any reported address. The warning shall note that any such
action could result in civil or criminal penalties.
42 U.S.C. 16919 – National Sex Offender Registry
(a) Internet
The Attorney General shall maintain a national database at the Federal Bureau of
Investigation for each sex offender and any other person required to register in a
jurisdiction’s sex offender registry. The database shall be known as the National Sex
Offender Registry.
(b) Electronic forwarding
The Attorney General shall ensure (through the National Sex Offender Registry or
otherwise) that updated information about a sex offender is immediately transmitted by
electronic forwarding to all relevant jurisdictions.
46 U.S.C. 7503 – Dangerous drugs as grounds for denial
…
(b) A license, certificate of registry, or merchant mariner’s document authorized to be
issued under this part may be denied to an individual who—
(1) within 10 years before applying for the license, certificate, or document, has been
convicted of violating a dangerous drug law of the United States or of a State; or
…
46 U.S.C. 7703 – Bases for suspension or revocation
A license, certificate of registry, or merchant mariner’s document issued by the Secretary
may be suspended or revoked if the holder—
(1) when acting under the authority of that license, certificate, or document—
(A) has violated or fails to comply with this subtitle, a regulation prescribed under
this subtitle, or any other law or regulation intended to promote marine safety or to
protect navigable waters; or
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(B) has committed an act of misconduct or negligence;
(2) is convicted of an offense that would prevent the issuance or renewal of a license,
certificate of registry, or merchant mariner’s document;
(3) within the 3-year period preceding the initiation of the suspension or revocation
proceeding is convicted of an offense described in section 30304(a)(3)(A) or (B) of title
49;
(4) has committed an act of incompetence relating to the operation of a vessel; or
(5) is a security risk that poses a threat to the safety or security of a vessel or a public or
commercial structure located within or adjacent to the marine environment.
46 U.S.C. 70105 – Transportation security cards
(a) Prohibition.--(1) The Secretary shall prescribe regulations to prevent an individual
from entering an area of a vessel or facility that is designated as a secure area by the
Secretary for purposes of a security plan for the vessel or facility that is approved by the
Secretary under section 70103 of this title unless the individual—
(A) holds a transportation security card issued under this section and is authorized to
be in the area in accordance with the plan; or
(B) is accompanied by another individual who holds a transportation security card
issued under this section and is authorized to be in the area in accordance with the
plan.
(2) A person shall not admit an individual into such a secure area unless the entry of the
individual into the area is in compliance with paragraph (1).
(b) Issuance of cards.--(1) The Secretary shall issue a biometric transportation security
card to an individual specified in paragraph (2), unless the Secretary determines under
subsection (c) that the individual poses a security risk warranting denial of the card.
(2) This subsection applies to—
(A) an individual allowed unescorted access to a secure area designated in a vessel or
facility security plan approved under section 70103 of this title;
(B) an individual issued a license, certificate of registry, or merchant mariners
document under part E of subtitle II of this title;
(C) a vessel pilot;
(D) an individual engaged on a towing vessel that pushes, pulls, or hauls alongside a
tank vessel;
(E) an individual with access to security sensitive information as determined by the
Secretary;
(F) other individuals engaged in port security activities as determined by the
Secretary; and

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(G) other individuals as determined appropriate by the Secretary including individuals
employed at a port not otherwise covered by this subsection.
(c) Determination of terrorism security risk.—
(1) Disqualifications.—
(A) Permanent disqualifying criminal offenses.—Except as provided under paragraph
(2), an individual is permanently disqualified from being issued a biometric
transportation security card under subsection (b) if the individual has been convicted,
or found not guilty by reason of insanity, in a civilian or military jurisdiction of any
of the following felonies:
(i) Espionage or conspiracy to commit espionage.
(ii) Sedition or conspiracy to commit sedition.
(iii) Treason or conspiracy to commit treason.
(iv) A Federal crime of terrorism (as defined in section 2332b(g) of title 18), a
crime under a comparable State law, or conspiracy to commit such crime.
(v) A crime involving a transportation security incident.
(vi) Improper transportation of a hazardous material in violation of section 5104(b)
of title 49, or a comparable State law.
(vii) Unlawful possession, use, sale, distribution, manufacture, purchase, receipt,
transfer, shipment, transportation, delivery, import, export, or storage of, or dealing
in, an explosive or explosive device. In this clause, an explosive or explosive device
includes—
(I) an explosive (as defined in sections 232(5) and 844(j) of title 18);
(II) explosive materials (as defined in subsections (c) through (f) of section 841 of
title 18); and
(III) a destructive device (as defined in 921(a)(4) of title 18 or section 5845(f) of
the Internal Revenue Code of 1986).
(viii) Murder.
(ix) 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 other
government facility, a public transportation system, or an infrastructure facility.
(x) A violation of chapter 96 of title 18, popularly known as the Racketeer
Influenced and Corrupt Organizations Act, or a comparable State law, if one of the
predicate acts found by a jury or admitted by the defendant consists of one of the
crimes listed in this subparagraph.
(xi) Attempt to commit any of the crimes listed in clauses (i) through (iv).
(xii) Conspiracy or attempt to commit any of the crimes described in clauses (v)
through (x).
(B) Interim disqualifying criminal offenses.—Except as provided under paragraph
(2), an individual is disqualified from being issued a biometric transportation security
card under subsection (b) if the individual has been convicted, or found not guilty by
reason of insanity, during the 7-year period ending on the date on which the
individual applies for such card, or was released from incarceration during the 5-year

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period ending on the date on which the individual applies for such card, of any of the
following felonies:
(i) Unlawful possession, use, sale, manufacture, purchase, distribution, receipt,
transfer, shipment, transportation, delivery, import, export, or storage of, or dealing
in, a firearm or other weapon. In this clause, a firearm or other weapon includes—
(I) firearms (as defined in section 921(a)(3) of title 18 or section 5845(a) of the
Internal Revenue Code of 1986); and
(II) items contained on the U.S. Munitions Import List under section 447.21 of title
27, Code of Federal Regulations.
(ii) Extortion.
(iii) Dishonesty, fraud, or misrepresentation, including identity fraud and money
laundering if the money laundering is related to a crime described in this
subparagraph or subparagraph (A). In this clause, welfare fraud and passing bad
checks do not constitute dishonesty, fraud, or misrepresentation.
(iv) Bribery.
(v) Smuggling.
(vi) Immigration violations.
(vii) Distribution of, possession with intent to distribute, or importation of a
controlled substance.
(viii) Arson.
(ix) Kidnaping or hostage taking.
(x) Rape or aggravated sexual abuse.
(xi) Assault with intent to kill.
(xii) Robbery.
(xiii) Conspiracy or attempt to commit any of the crimes listed in this subparagraph.
(xiv) Fraudulent entry into a seaport in violation of section 1036 of title 18, or a
comparable State law.
(xv) A violation of the chapter 96 of title 18, popularly known as the Racketeer
Influenced and Corrupt Organizations Act or a comparable State law, other than any
of the violations listed in subparagraph (A)(x).
(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 paragraph
(1)(A), is disqualified from being issued a biometric transportation security card
under subsection (b) until the want or warrant is released or the indictment is
dismissed.
(D) Other potential disqualifications.—Except as provided under subparagraphs (A)
through (C), an individual may not be denied a transportation security card under
subsection (b) unless the Secretary determines that individual—
(i) has been convicted within the preceding 7-year period of a felony or found not
guilty by reason of insanity of a felony—
(I) that the Secretary believes could cause the individual to be a terrorism security
risk to the United States; or
(II) for causing a severe transportation security incident;
(ii) has been released from incarceration within the preceding 5-year period for
committing a felony described in clause (i);

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(iii) may be denied admission to the United States or removed from the United
States under the Immigration and Nationality Act (8 U.S.C. 1101 et seq.); or
(iv) otherwise poses a terrorism security risk to the United States.
(E) Modification of listed offenses.—The Secretary may, by rulemaking, add to or
modify the list of disqualifying crimes described in paragraph (1)(B).
(2) The Secretary shall prescribe regulations that establish a waiver process for issuing
a transportation security card to an individual found to be otherwise ineligible for such
a card under subparagraph (A), (B), or (D) paragraph (1). In deciding to issue a card to
such an individual, the Secretary shall—
(A) give consideration to the circumstances of any disqualifying act or offense,
restitution made by the individual, Federal and State mitigation remedies, and other
factors from which it may be concluded that the individual does not pose a terrorism
risk warranting denial of the card; and
(B) issue a waiver to an individual without regard to whether that individual would
otherwise be disqualified if the individual’s employer establishes alternate security
arrangements acceptable to the Secretary.
(3) Denial of waiver review.—
(A) In general.—The Secretary shall establish a review process before an
administrative law judge for individuals denied a waiver under paragraph (2).
(B) Scope of review.—In conducting a review under the process established pursuant
to subparagraph (A), the administrative law judge shall be governed by the standards
of section 706 of title 5. The substantial evidence standard in section 706(2)(E) of
title 5 shall apply whether or not there has been an agency hearing. The judge shall
review all facts on the record of the agency.
(C) Classified evidence.—The Secretary, in consultation with the National
Intelligence Director, shall issue regulations to establish procedures by which the
Secretary, as part of a review conducted under this paragraph, may provide to the
individual adversely affected by the determination an unclassified summary of
classified evidence upon which the denial of a waiver by the Secretary was based.
(D) Review of classified evidence by administrative law judge.—
(i) Review.—As part of a review conducted under this section, if the decision of the
Secretary was based on classified information (as defined in section 1(a) of the
Classified Information Procedures Act (18 U.S.C. App.)), such information may be
submitted by the Secretary to the reviewing administrative law judge, pursuant to
appropriate security procedures, and shall be reviewed by the administrative law
judge ex parte and in camera.
(ii) Security clearances.—Pursuant to existing procedures and requirements, the
Secretary, in coordination (as necessary) with the heads of other affected
departments or agencies, shall ensure that administrative law judges reviewing
negative waiver decisions of the Secretary under this paragraph possess security
clearances appropriate for such review.
(iii) Unclassified summaries of classified evidence.—As part of a review conducted
under this paragraph and upon the request of the individual adversely affected by
the decision of the Secretary not to grant a waiver, the Secretary shall provide to the
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individual and reviewing administrative law judge, consistent with the procedures
established under clause (i), an unclassified summary of any classified information
upon which the decision of the Secretary was based.
(E) New evidence.—The Secretary shall establish a process under which an
individual may submit a new request for a waiver, notwithstanding confirmation by
the administrative law judge of the Secretary’s initial denial of the waiver, if the
request is supported by substantial evidence that was not available to the Secretary at
the time the initial waiver request was denied.
(4) The Secretary shall establish an appeals process under this section for individuals
found to be ineligible for a transportation security card that includes notice and an
opportunity for a hearing.
(5) Upon application, the Secretary may issue a transportation security card to an
individual if the Secretary has previously determined, under section 5103a of title 49,
that the individual does not pose a security risk.
(d) Background records check.--(1) On request of the Secretary, the Attorney General
shall—
(A) conduct a background records check regarding the individual; and
(B) upon completing the background records check, notify the Secretary of the
completion and results of the background records check.
(2) A background records check regarding an individual under this subsection shall
consist of the following:
(A) A check of the relevant criminal history databases.
(B) In the case of an alien, a check of the relevant databases to determine the status of
the alien under the immigration laws of the United States.
(C) As appropriate, a check of the relevant international databases or other
appropriate means.
(D) Review of any other national security-related information or database identified
by the Attorney General for purposes of such a background records check.
(e) Restrictions on use and maintenance of information.--(1) Information obtained by the
Attorney General or the Secretary under this section may not be made available to the
public, including the individual’s employer.
(2) Any information constituting grounds for denial of a transportation security card
under this section shall be maintained confidentially by the Secretary and may be used
only for making determinations under this section. The Secretary may share any such
information with other Federal law enforcement agencies. An individual’s employer
may only be informed of whether or not the individual has been issued the card under
this section.
(f) Definition.—In this section, the term “alien” has the meaning given the term in section
101(a)(3) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(3)).
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(g) Applications for merchant mariners’ documents.—The Assistant Secretary of
Homeland Security for the Transportation Security Administration and the Commandant
of the Coast Guard shall concurrently process an application from an individual for
merchant mariner’s documents under chapter 73 of title 46, United States Code, and an
application from that individual for a transportation security card under this section.
(h) Fees.—The Secretary shall ensure that the fees charged each individual applying for a
transportation security card under this section who has passed a background check under
section 5103a(d) of title 49, United States Code, and who has a current hazardous
materials endorsement in accordance with section 1572 of title 49, Code of Federal
Regulations, and each individual with a current merchant mariners’ document who has
passed a criminal background check under section 7302(d)-(1) are for costs associated with the issuance, production, and management of the
transportation security card, as determined by the Secretary; and
(2) do not include costs associated with performing a background check for that
individual, except for any incremental costs in the event that the scope of such
background checks diverge.
(i) Implementation schedule.—In implementing the transportation security card program
under this section, the Secretary shall—
(1) establish a priority for each United States port based on risk, including
vulnerabilities assessed under section 70102; and
(2) implement the program, based upon such risk and other factors as determined by the
secretary, at all facilities regulated under this chapter at—
(A) the 10 United States ports that the Secretary designates top priority not later than
July 1, 2007;
(B) the 40 United States ports that are next in order of priority to the ports described
in subparagraph (A) not later than January 1, 2008; and
(C) all other United States ports not later than January 1, 2009.
(j) Transportation security card processing deadline.—Not later than January 1, 2009, the
Secretary shall process and issue or deny each application for a transportation security
card under this section for individuals with current and valid merchant mariners’
documents on the date of the enactment of the SAFE Port Act.
49 U.S.C. 114 – Transportation Security Administration
…
(f) Additional duties and powers.--In addition to carrying out the functions specified in
subsections (d) and (e), the Under Secretary shall-187
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…
(12) require background checks for airport security screening personnel, individuals with
access to secure areas of airports, and other transportation security personnel;
…
49 U.S.C. 5103a – Limitation on issuance of hazmat licenses
(a) Limitation.—
(1) Issuance of licenses.—A State may not issue to any individual a license to operate a
motor vehicle transporting in commerce a hazardous material unless the Secretary of
Homeland Security has first determined, upon receipt of a notification under subsection
(d)(1)(B), that the individual does not pose a security risk warranting denial of the
license.
(2) Renewals included.—For the purposes of this section, the term ‘issue’, with respect
to a license, includes renewal of the license.
(b) Hazardous materials described.—The limitation in subsection (a) shall apply with
respect to any material defined as hazardous material by the Secretary of Transportation
for which the Secretary of Transportation requires placarding of a commercial motor
vehicle transporting that material in commerce.
(c) Recommendations on chemical and biological materials.—The Secretary of Health
and Human Services shall recommend to the Secretary of Transportation any chemical or
biological material or agent for regulation as a hazardous material under section 5103(a)
if the Secretary of Health and Human Services determines that such material or agent
poses a significant risk to the health of individuals.
(d) Background records check.—
(1) In general.—Upon the request of a State regarding issuance of a license described in
subsection (a)(1) to an individual, the Attorney General—
(A) shall carry out a background records check regarding the individual; and
(B) upon completing the background records check, shall notify the Secretary of
Homeland Security of the completion and results of the background records check.
(2) Scope.—A background records check regarding an individual under this subsection
shall consist of the following:
(A) A check of the relevant criminal history data bases.
(B) In the case of an alien, a check of the relevant data bases to determine the status
of the alien under the immigration laws of the United States.

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(C) As appropriate, a check of the relevant international data bases through InterpolU.S. National Central Bureau or other appropriate means.
(e) Reporting requirement.—Each State shall submit to the Secretary of Homeland
Security, at such time and in such manner as the Secretary of Homeland Security may
prescribe, the name, address, and such other information as the Secretary of Homeland
Security may require, concerning—
(1) each alien to whom the State issues a license described in subsection (a); and
(2) each other individual to whom such a license is issued, as the Secretary of
Homeland Security may require.
(f) Alien defined.—In this section, the term “alien” has the meaning given the term in
section 101(a)(3) of the Immigration and Nationality Act.
(g) Background checks for drivers hauling hazardous materials.—
(1) In general.—
(A) Employer notification.—Not later than 90 days after the date of enactment of this
subsection, the Director of the Transportation Security Administration, after receiving
comments from interested parties, shall develop and implement a process for
notifying hazmat employers designated by an applicant of the results of the
applicant’s background record check, if—
(i) such notification is appropriate considering the potential security implications;
and
(ii) the Director, in a final notification of threat assessment, served on the applicant
determines that the applicant does not meet the standards set forth in regulations
issued to carry out this section.
(B) Relationship to other background records checks.—
(i) Elimination of redundant checks.—An individual with respect to whom the
Transportation Security Administration—
(I) has performed a security threat assessment under this section; and
(II) has issued a final notification of no security threat,
is deemed to have met the requirements of any other background check that is
required for purposes of any Federal law applicable to transportation workers if that
background check is equivalent to, or less stringent than, the background check
required under this section.
(ii) Determination by director.—Not later than 60 days after the date of issuance of
the report under paragraph (5), but no later than 120 days after the date of
enactment of this subsection, the Director shall initiate a rulemaking proceeding,
including notice and opportunity for comment, to determine which background
checks required for purposes of Federal laws applicable to transportation workers
are equivalent to, or less stringent than, those required under this section.
(iii) Future rulemakings.—The Director shall make a determination under the
criteria established under clause (ii) with respect to any rulemaking proceeding to
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establish or modify required background checks for transportation workers initiated
after the date of enactment of this subsection.
(2) Appeals process for more stringent State procedures.—If a State establishes its own
standards for applicants for a hazardous materials endorsement to a commercial driver’s
license, the State shall also provide—
(A) an appeals process similar to and to the same extent as the process provided under
part 1572 of title 49, Code of Federal Regulations, by which an applicant denied a
hazardous materials endorsement to a commercial driver’s license by that State may
appeal that denial; and
(B) a waiver process similar to and to the same extent as the process provided under
part 1572 of title 49, Code of Federal Regulations, by which an applicant denied a
hazardous materials endorsement to a commercial driver’s license by that State may
apply for a waiver.
(3) Clarification of term defined in regulations.—The term “transportation security
incident”, as defined in part 1572 of title 49, Code of Federal Regulations, does not
include a work stoppage or other nonviolent employee-related action resulting from an
employer-employee dispute. Not later than 30 days after the date of enactment of this
subsection, the Director shall modify the definition of that term to reflect the preceding
sentence.
(4) Background check capacity.—Not later than October 1, 2005, the Director shall
transmit to the Committee on Commerce, Science, and Transportation of the Senate and
the Committees on Transportation and Infrastructure and Homeland Security of the
House of Representatives a report on the implementation of fingerprint-based security
threat assessments and the adequacy of fingerprinting locations, personnel, and
resources to accomplish the timely processing of fingerprint-based security threat
assessments for individuals holding commercial driver’s licenses who are applying to
renew hazardous materials endorsements.
(5) Report.—
(A) In general.—Not later than 60 days after the date of enactment of this subsection,
the Director shall transmit to the committees referred to in paragraph (4) a report on
the Director’s plans to reduce or eliminate redundant background checks for holders
of hazardous materials endorsements performed under this section.
(B) Contents.—The report shall—
(i) include a list of background checks and other security or threat assessment
requirements applicable to transportation workers under Federal laws for which the
Department of Homeland Security is responsible and the process by which the
Secretary of Homeland Security will determine whether such checks or assessments
are equivalent to, or less stringent than, the background check performed under this
section; and
(ii) provide an analysis of how the Director plans to reduce or eliminate redundant
background checks in a manner that will continue to ensure the highest level of
safety and security.
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(h) Commercial motor vehicle operators registered to operate in Mexico or Canada.—
(1) In general.—Beginning on the date that is 6 months after the date of enactment of
this subsection, a commercial motor vehicle operator registered to operate in Mexico or
Canada shall not operate a commercial motor vehicle transporting a hazardous material
in commerce in the United States until the operator has undergone a background
records check similar to the background records check required for commercial motor
vehicle operators licensed in the United States to transport hazardous materials in
commerce.
(2) Extension.—The Director of the Transportation Security Administration may
extend the deadline established by paragraph (1) for a period not to exceed 6 months if
the Director determines that such an extension is necessary.
(3) Commercial motor vehicle defined.—In this subsection, the term “commercial
motor vehicle” has the meaning given that term by section 31101.
49 U.S.C. 20135 – Licensing or certification of locomotive operators
(a) General.—The Secretary of Transportation shall prescribe regulations and issue
orders to establish a program requiring the licensing or certification, after one year after
the program is established, of any operator of a locomotive.
…
(4) except as provided in subsection (c)(1) of this section, shall require consideration, to
the extent the information is available, of the motor vehicle driving record of each
individual seeking licensing or certification, including—
(A) any denial, cancellation, revocation, or suspension of a motor vehicle operator’s
license by a State for cause within the prior 5 years; and
(B) any conviction within the prior 5 years of an offense described in section
30304(a)(3)(A) or (B) of this title;
…
(c) Waivers.--(1) The Secretary shall prescribe standards and establish procedures for
waiving subsection (b)(4) of this section for an individual or class of individuals who
the Secretary decides are not currently unfit to operate a locomotive. However, the
Secretary may waive subsection (b)(4) for an individual or class of individuals with a
conviction, cancellation, revocation, or suspension described in paragraph (2)(A) or (B)
of this subsection only if the individual or class, after the conviction, cancellation,
revocation, or suspension, successfully completes a rehabilitation program established
by a railroad carrier or approved by the Secretary.
(2) If an individual, after the conviction, cancellation, revocation, or suspension,
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successfully completes a rehabilitation program established by a railroad carrier or
approved by the Secretary, the individual may not be denied a license or certification
under subsection (b)(4) of this section because of—
(A) a conviction for operating a motor vehicle when under the influence of, or
impaired by, alcohol or a controlled substance; or
(B) the cancellation, revocation, or suspension of the individual’s motor vehicle
operator’s license for operating a motor vehicle when under the influence of, or
impaired by, alcohol or a controlled substance.
(d) Opportunity for hearing.—An individual denied a license or certification or whose
license or certification is conditioned on requirements prescribed under subsection (b)(4)
of this section shall be entitled to a hearing under section 20103(e) of this title to decide
whether the license has been properly denied or conditioned.
(e) Opportunity to examine and comment on information.—The Secretary, employer, or
prospective employer, as appropriate, shall make information obtained under subsection
(b)(6) of this section available to the individual. The individual shall be given an
opportunity to comment in writing about the information. Any comment shall be included
in any record or file maintained by the Secretary, employer, or prospective employer that
contains information to which the comment is related.
49 U.S.C. 31310 – Disqualifications
(a) Blood alcohol concentration level.—In this section, the blood alcohol concentration
level at or above which an individual when operating a commercial motor vehicle is
deemed to be driving under the influence of alcohol is .04 percent.
(b) First violation or committing felony.--(1) Except as provided in paragraph (2) of this
subsection and subsection (c) of this section, the Secretary of Transportation shall
disqualify from operating a commercial motor vehicle for at least one year an
individual—
(A) committing a first violation of driving a commercial motor vehicle under the
influence of alcohol or a controlled substance;
(B) committing a first violation of leaving the scene of an accident involving a
commercial motor vehicle operated by the individual;
(C) using a commercial motor vehicle in committing a felony (except a felony
described in subsection (d) of this section);
(D) committing a first violation of driving a commercial motor vehicle when the
individual’s commercial driver’s license is revoked, suspended, or canceled based on
the individual’s operation of a commercial motor vehicle or when the individual is
disqualified from operating a commercial motor vehicle based on the individual’s
operation of a commercial motor vehicle; or
(E) convicted of causing a fatality through negligent or criminal operation of a
commercial motor vehicle.

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(2) If the vehicle involved in a violation referred to in paragraph (1) of this subsection
is transporting hazardous material required to be placarded under section 5103 of this
title, the Secretary shall disqualify the individual for at least 3 years.
(c) Second and multiple violations.--(1) Subject to paragraph (2) of this subsection, the
Secretary shall disqualify from operating a commercial motor vehicle for life an
individual—
(A) committing more than one violation of driving a commercial motor vehicle under
the influence of alcohol or a controlled substance;
(B) committing more than one violation of leaving the scene of an accident involving
a commercial motor vehicle operated by the individual;
(C) using a commercial motor vehicle in committing more than one felony arising out
of different criminal episodes;
(D) committing more than one violation of driving a commercial motor vehicle when
the individual’s commercial driver’s license is revoked, suspended, or canceled based
on the individual’s operation of a commercial motor vehicle or when the individual is
disqualified from operating a commercial motor vehicle based on the individual’s
operation of a commercial motor vehicle;
(E) convicted of more than one offense of causing a fatality through negligent or
criminal operation of a commercial motor vehicle; or
(F) committing any combination of single violations or use described in
subparagraphs (A) through (E).
(2) The Secretary may prescribe regulations establishing guidelines (including
conditions) under which a disqualification for life under paragraph (1) of this
subsection may be reduced to a period of not less than 10 years.
(d) Controlled substance violations.—The Secretary shall disqualify from operating a
commercial motor vehicle for life an individual who uses a commercial motor vehicle in
committing a felony involving manufacturing, distributing, or dispensing a controlled
substance, or possession with intent to manufacture, distribute, or dispense a controlled
substance.
(e) Serious traffic violations.--(1) The Secretary shall disqualify from operating a
commercial motor vehicle for at least 60 days an individual who, in a 3-year period,
commits 2 serious traffic violations involving a commercial motor vehicle operated by
the individual.
(2) The Secretary shall disqualify from operating a commercial motor vehicle for at
least 120 days an individual who, in a 3-year period, commits 3 serious traffic
violations involving a commercial motor vehicle operated by the individual.
(f) Emergency disqualification.—

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(1) Limited duration.—The Secretary shall disqualify an individual from operating a
commercial motor vehicle for not to exceed 30 days if the Secretary determines that
allowing the individual to continue to operate a commercial motor vehicle would create
an imminent hazard (as such term is defined in section 5102).
(2) After notice and hearing.—The Secretary shall disqualify an individual from
operating a commercial motor vehicle for more than 30 days if the Secretary
determines, after notice and an opportunity for a hearing, that allowing the individual to
continue to operate a commercial motor vehicle would create an imminent hazard (as
such term is defined in section 5102).
(g) Noncommercial motor vehicle convictions.—
(1) Issuance of regulations.—Not later than 1 year after the date of the enactment of
this Act, the Secretary shall issue regulations providing for the disqualification by the
Secretary from operating a commercial motor vehicle of an individual who holds a
commercial driver’s license and who has been convicted of—
(A) a serious offense involving a motor vehicle (other than a commercial motor
vehicle) that has resulted in the revocation, cancellation, or suspension of the
individual’s license; or
(B) a drug or alcohol related offense involving a motor vehicle (other than a
commercial motor vehicle).
(2) Requirements for regulations.—Regulations issued under paragraph (1) shall
establish the minimum periods for which the disqualifications shall be in effect, but in
no case shall the time periods for disqualification for noncommercial motor vehicle
violations be more stringent than those for offenses or violations involving a
commercial motor vehicle. The Secretary shall determine such periods based on the
seriousness of the offenses on which the convictions are based.
(h) State disqualification.—Notwithstanding subsections (b) through (g) of this section,
the Secretary does not have to disqualify an individual from operating a commercial
motor vehicle if the State that issued the individual a license authorizing the operation has
disqualified the individual from operating a commercial motor vehicle under subsections
(b) through (g). Revocation, suspension, or cancellation of the license is deemed to be
disqualification under this subsection.
49 U.S.C. 44709 – Amendments, modifications, suspensions, and revocations of
certificates
(a) Reinspection and reexamination.—The Administrator of the Federal Aviation
Administration may reinspect at any time a civil aircraft, aircraft engine, propeller,
appliance, design organization, production certificate holder, air navigation facility, or air
agency, or reexamine an airman holding a certificate issued under section 44703 of this
title.

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(b) Actions of the Administrator.—The Administrator may issue an order amending,
modifying, suspending, or revoking—
(1) any part of a certificate issued under this chapter if—
(A) the Administrator decides after conducting a reinspection, reexamination, or other
investigation that safety in air commerce or air transportation and the public interest
require that action; or
(B) the holder of the certificate has violated an aircraft noise or sonic boom standard
or regulation prescribed under section 44715(a) of this title; and
(2) an airman certificate when the holder of the certificate is convicted of violating
section 13(a) of the Fish and Wildlife Act of 1956 (16 U.S.C. 742j-1(a)).
(c) Advice to certificate holders and opportunity to answer.—Before acting under
subsection (b) of this section, the Administrator shall advise the holder of the certificate
of the charges or other reasons on which the Administrator relies for the proposed action.
Except in an emergency, the Administrator shall provide the holder an opportunity to
answer the charges and be heard why the certificate should not be amended, modified,
suspended, or revoked.
(d) Appeals.--(1) A person adversely affected by an order of the Administrator under this
section may appeal the order to the National Transportation Safety Board. After notice
and an opportunity for a hearing, the Board may amend, modify, or reverse the order
when the Board finds—
(A) if the order was issued under subsection (b)(1)(A) of this section, that safety in air
commerce or air transportation and the public interest do not require affirmation of
the order; or
(B) if the order was issued under subsection (b)(1)(B) of this section—
(i) that control or abatement of aircraft noise or sonic boom and the public health
and welfare do not require affirmation of the order; or
(ii) the order, as it is related to a violation of aircraft noise or sonic boom standards
and regulations, is not consistent with safety in air commerce or air transportation.
(2) The Board may modify a suspension or revocation of a certificate to imposition of a
civil penalty.
(3) When conducting a hearing under this subsection, the Board is not bound by
findings of fact of the Administrator but is bound by all validly adopted interpretations
of laws and regulations the Administrator carries out and of written agency policy
guidance available to the public related to sanctions to be imposed under this section
unless the Board finds an interpretation is arbitrary, capricious, or otherwise not
according to law.
(e) Effectiveness of orders pending appeal.—

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(1) In general.—When a person files an appeal with the Board under subsection (d), the
order of the Administrator is stayed.
(2) Exception.—Notwithstanding paragraph (1), the order of the Administrator is
effective immediately if the Administrator advises the Board that an emergency exists
and safety in air commerce or air transportation requires the order to be effective
immediately.
(3) Review of emergency order.—A person affected by the immediate effectiveness of
the Administrator’s order under paragraph (2) may petition for a review by the Board,
under procedures promulgated by the Board, of the Administrator’s determination that
an emergency exists. Any such review shall be requested not later than 48 hours after
the order is received by the person. If the Board finds that an emergency does not exist
that requires the immediate application of the order in the interest of safety in air
commerce or air transportation, the order shall be stayed, notwithstanding paragraph
(2). The Board shall dispose of a review request under this paragraph not later than 5
days after the date on which the request is filed.
(4) Final disposition.—The Board shall make a final disposition of an appeal under
subsection (d) not later than 60 days after the date on which the appeal is filed.
(f) Judicial review.—A person substantially affected by an order of the Board under this
section, or the Administrator when the Administrator decides that an order of the Board
under this section will have a significant adverse impact on carrying out this part, may
obtain judicial review of the order under section 46110 of this title. The Administrator
shall be made a party to the judicial review proceedings. Findings of fact of the Board are
conclusive if supported by substantial evidence.
49 U.S.C. 44710 – Revocations of airman certificates for controlled substance
violations
(a) Definition.—In this section, “controlled substance” has the same meaning given that
term in section 102 of the Comprehensive Drug Abuse Prevention and Control Act of
1970 (21 U.S.C. 802).
(b) Revocation.--(1) The Administrator of the Federal Aviation Administration shall
issue an order revoking an airman certificate issued an individual under section 44703 of
this title after the individual is convicted, under a law of the United States or a State
related to a controlled substance (except a law related to simple possession of a controlled
substance), of an offense punishable by death or imprisonment for more than one year if
the Administrator finds that—
(A) an aircraft was used to commit, or facilitate the commission of, the offense; and
(B) the individual served as an airman, or was on the aircraft, in connection with
committing, or facilitating the commission of, the offense.

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(2) The Administrator shall issue an order revoking an airman certificate issued an
individual under section 44703 of this title if the Administrator finds that—
(A) the individual knowingly carried out an activity punishable, under a law of the
United States or a State related to a controlled substance (except a law related to
simple possession of a controlled substance), by death or imprisonment for more than
one year;
(B) an aircraft was used to carry out or facilitate the activity; and
(C) the individual served as an airman, or was on the aircraft, in connection with
carrying out, or facilitating the carrying out of, the activity.
(3) The Administrator has no authority under paragraph (1) of this subsection to review
whether an airman violated a law of the United States or a State related to a controlled
substance.
(c) Advice to holders and opportunity to answer.—Before the Administrator revokes a
certificate under subsection (b) of this section, the Administrator must—
(1) advise the holder of the certificate of the charges or reasons on which the
Administrator relies for the proposed revocation; and
(2) provide the holder of the certificate an opportunity to answer the charges and be
heard why the certificate should not be revoked.
(d) Appeals.--(1) An individual whose certificate is revoked by the Administrator under
subsection (b) of this section may appeal the revocation order to the National
Transportation Safety Board. The Board shall affirm or reverse the order after providing
notice and an opportunity for a hearing on the record. When conducting the hearing, the
Board is not bound by findings of fact of the Administrator but shall be bound by all
validly adopted interpretations of laws and regulations the Administrator carries out and
of written agency policy guidance available to the public related to sanctions to be
imposed under this section unless the Board finds an interpretation is arbitrary,
capricious, or otherwise not according to law.
(2) When an individual files an appeal with the Board under this subsection, the order
of the Administrator revoking the certificate is stayed. However, if the Administrator
advises the Board that safety in air transportation or air commerce requires the
immediate effectiveness of the order—
(A) the order remains effective; and
(B) the Board shall make a final disposition of the appeal not later than 60 days after
the Administrator so advises the Board.
(3) An individual substantially affected by an order of the Board under this subsection,
or the Administrator when the Administrator decides that an order of the Board will
have a significant adverse effect on carrying out this part, may obtain judicial review of
the order under section 46110 of this title. The Administrator shall be made a party to
the judicial review proceedings. Findings of fact of the Board are conclusive if
supported by substantial evidence.
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(e) Acquittal.--(1) The Administrator may not revoke, and the Board may not affirm a
revocation of, an airman certificate under subsection (b)(2) of this section on the basis of
an activity described in subsection (b)(2)(A) if the holder of the certificate is acquitted of
all charges related to a controlled substance in an indictment or information arising from
the activity.
(2) If the Administrator has revoked an airman certificate under this section because of
an activity described in subsection (b)(2)(A) of this section, the Administrator shall
reissue a certificate to the individual if—
(A) the individual otherwise satisfies the requirements for a certificate under section
44703 of this title; and
(B)(i) the individual subsequently is acquitted of all charges related to a controlled
substance in an indictment or information arising from the activity; or
(ii) the conviction on which a revocation under subsection (b)(1) of this section is
based is reversed.
(f) Waivers.—The Administrator may waive the requirement of subsection (b) of this
section that an airman certificate of an individual be revoked if—
(1) a law enforcement official of the United States Government or of a State requests a
waiver; and
(2) the Administrator decides that the waiver will facilitate law enforcement efforts.
49 U.S.C. 44935 – Employment standards and training
(e) Security screeners.—
…
(2) Hiring.—
(A) Qualifications.—Within 30 days after the date of enactment of the Aviation and
Transportation Security Act, the Under Secretary shall establish qualification
standards for individuals to be hired by the United States as security screening
personnel. Notwithstanding any provision of law, those standards shall require, at a
minimum, an individual—
(i) to have a satisfactory or better score on a Federal security screening personnel
selection examination;
(ii) to be a citizen of the United States or a national of the United States, as defined
in section 1101(a)(22) of the Immigration and Nationality Act (8 U.S.C.
1101(a)(22));
(iii) to meet, at a minimum, the requirements set forth in subsection (f);
(iv) to meet such other qualifications as the Under Secretary may establish; and
(v) to have the ability to demonstrate daily a fitness for duty without any
impairment due to illegal drugs, sleep deprivation, medication, or alcohol.

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(B) Background checks.—The Under Secretary shall require that an individual to be
hired as a security screener undergo an employment investigation (including a
criminal history record check) under section 44936(a)(1).
49 U.S.C. 44936 – Employment investigations and restrictions
(a) Employment investigation requirement.—
(1)(A) The Under Secretary of Transportation for Security shall require by regulation
that an employment investigation, including a criminal history record check and a
review of available law enforcement data bases and records of other governmental and
international agencies to the extent determined practicable by the Under Secretary of
Transportation for Transportation Security, shall be conducted of each individual
employed in, or applying for, a position as a security screener under section 44935(e) or
a position in which the individual has unescorted access, or may permit other
individuals to have unescorted access, to—
(i) aircraft of an air carrier or foreign air carrier; or
(ii) a secured area of an airport in the United States the Under Secretary designates
that serves an air carrier or foreign air carrier.
(B) The Under Secretary shall require by regulation that an employment investigation
(including a criminal history record check and a review of available law enforcement
data bases and records of other governmental and international agencies to the extent
determined practicable by the Under Secretary of Transportation for Transportation
Security) be conducted for—
(i) individuals who are responsible for screening passengers or property under section
44901 of this title;
(ii) supervisors of the individuals described in clause (i);
(iii) individuals who regularly have escorted access to aircraft of an air carrier or
foreign air carrier or a secured area of an airport in the United States the
Administrator designates that serves an air carrier or foreign air carrier; and
(iv) such other individuals who exercise security functions associated with baggage or
cargo, as the Under Secretary determines is necessary to ensure air transportation
security.
(C) Background checks of current employees.—
(i) A new background check (including a criminal history record check and a review
of available law enforcement data bases and records of other governmental and
international agencies to the extent determined practicable by the Under Secretary of
Transportation for Transportation Security shall be required for any individual who is
employed in a position described in subparagraphs (A) and (B) on the date of
enactment of the Aviation and Transportation Security Act.
(ii) The Under Secretary may provide by order (without regard to the provisions of
chapter 5 of title 5, United States Code) for a phased-in implementation of the
requirements of this subparagraph.
(D) Exemption.—An employment investigation, including a criminal history record
check, shall not be required under this subsection for an individual who is exempted
under section 107.31(m)(1) or (2) of title 14, Code of Federal Regulations, as in effect
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on November 22, 2000. The Under Secretary shall work with the International Civil
Aviation Organization and with appropriate authorities of foreign countries to ensure
that individuals exempted under this subparagraph do not pose a threat to aviation or
national security.
(2) An air carrier, foreign air carrier, airport operator, or government that employs, or
authorizes or makes a contract for the services of, an individual in a position described
in paragraph (1) of this subsection shall ensure that the investigation the Under
Secretary requires is conducted.
(3) The Under Secretary shall provide for the periodic audit of the effectiveness of
criminal history record checks conducted under paragraph (1) of this subsection.
(b) Prohibited employment.--(1) Except as provided in paragraph (3) of this subsection,
an air carrier, foreign air carrier, airport operator, or government may not employ, or
authorize or make a contract for the services of, an individual in a position described in
subsection (a)(1) of this section if—
(A) the investigation of the individual required under this section has not been
conducted; or
(B) the results of that investigation establish that, in the 10-year period ending on the
date of the investigation, the individual was convicted (or found not guilty by reason
of insanity) of—
(i) a crime referred to in section 46306, 46308, 46312, 46314, or 46315 or chapter
465 of this title or section 32 of title 18;
(ii) murder;
(iii) assault with intent to murder;
(iv) espionage;
(v) sedition;
(vi) treason;
(vii) rape;
(viii) kidnapping;
(ix) unlawful possession, sale, distribution, or manufacture of an explosive or
weapon;
(x) extortion;
(xi) armed or felony unarmed robbery;
(xii) distribution of, or intent to distribute, a controlled substance;
(xiii) a felony involving a threat;
(xiv) a felony involving—
(I) willful destruction of property;
(II) importation or manufacture of a controlled substance;
(III) burglary;
(IV) theft;
(V) dishonesty, fraud, or misrepresentation;
(VI) possession or distribution of stolen property;
(VII) aggravated assault;
(VIII) bribery; and
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(IX) illegal possession of a controlled substance punishable by a maximum term
of imprisonment of more than 1 year, or any other crime classified as a felony that
the Under Secretary determines indicates a propensity for placing contraband
aboard an aircraft in return for money; or
(xv) conspiracy to commit any of the acts referred to in clauses (i) through (xiv).
(2) The Under Secretary may specify other factors that are sufficient to prohibit the
employment of an individual in a position described in subsection (a)(1) of this section.
(3) An air carrier, foreign air carrier, airport operator, or government may employ, or
authorize or contract for the services of, an individual in a position described in
subsection (a)(1) of this section without carrying out the investigation required under
this section, if the Under Secretary approves a plan to employ the individual that
provides alternate security arrangements.
(c) Fingerprinting and record check information.--(1) If the Under Secretary requires an
identification and criminal history record check, to be conducted by the Attorney
General, as part of an investigation under this section, the Under Secretary shall designate
an individual to obtain fingerprints and submit those fingerprints to the Attorney General.
The Attorney General may make the results of a check available to an individual the
Under Secretary designates. Before designating an individual to obtain and submit
fingerprints or receive results of a check, the Under Secretary shall consult with the
Attorney General. All Federal agencies shall cooperate with the Under Secretary and the
Under Secretary’s designee in the process of collecting and submitting fingerprints.
(2) The Under Secretary shall prescribe regulations on—
(A) procedures for taking fingerprints; and
(B) requirements for using information received from the Attorney General under
paragraph (1) of this subsection—
(i) to limit the dissemination of the information; and
(ii) to ensure that the information is used only to carry out this section.
(3) If an identification and criminal history record check is conducted as part of an
investigation of an individual under this section, the individual—
(A) shall receive a copy of any record received from the Attorney General; and
(B) may complete and correct the information contained in the check before a final
employment decision is made based on the check.
…
(e) When investigation or record check not required.—This section does not require an
investigation or record check when the investigation or record check is prohibited by a
law of a foreign country.
5 C.F.R. 919.605 – How does suspension differ from debarment?
Suspension differs from debarment in that—
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A suspending official ...
(a) Imposes suspension as a temporary
status of ineligibility for procurement and
nonprocurement transactions, pending
completion of an investigation or legal
proceedings
(b) Must—

(1) Have adequate evidence that there
may be a cause for debarment of a
person; and
(2) Conclude that immediate action is
necessary to protect the Federal interest
(c) Usually imposes the suspension first,
and then promptly notifies the suspended
person, giving the person an opportunity
to contest the suspension and have it
lifted

A debarring official ...
Imposes debarment for a specified period as
a final determination that a person is not
presently responsible.

Must conclude, based on a preponderance of
the evidence, that the person has engaged in
conduct that warrants debarment.

Imposes debarment after giving the
respondent notice of the action and an
opportunity to contest the proposed
debarment.

5 C.F.R. 919.800 – What are the causes for debarment?
We may debar a person for-(a) Conviction of or civil judgment for—
(1) Commission of fraud or a criminal offense in connection with obtaining, attempting
to obtain, or performing a public or private agreement or transaction;
(2) Violation of Federal or State antitrust statutes, including those proscribing price
fixing between competitors, allocation of customers between competitors, and bid
rigging;
(3) Commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, tax evasion, receiving stolen property, making false
claims, or obstruction of justice; or
(4) Commission of any other offense indicating a lack of business integrity or business
honesty that seriously and directly affects your present responsibility;
(b) Violation of the terms of a public agreement or transaction so serious as to affect the
integrity of an agency program, such as—
(1) A willful failure to perform in accordance with the terms of one or more public
agreements or transactions;
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(2) A history of failure to perform or of unsatisfactory performance of one or more
public agreements or transactions; or
(3) A willful violation of a statutory or regulatory provision or requirement applicable
to a public agreement or transaction;
(c) Any of the following causes:
(1) A nonprocurement debarment by any Federal agency taken before October 1, 1988,
or a procurement debarment by any Federal agency taken pursuant to 48 CFR part 9,
subpart 9.4, before August 25, 1995;
(2) Knowingly doing business with an ineligible person, except as permitted under §
919.120;
(3) Failure to pay a single substantial debt, or a number of outstanding debts (including
disallowed costs and overpayments, but not including sums owed the Federal
Government under the Internal Revenue Code) owed to any Federal agency or
instrumentality, provided the debt is uncontested by the debtor or, if contested,
provided that the debtor’s legal and administrative remedies have been exhausted;
(4) Violation of a material provision of a voluntary exclusion agreement entered into
under § 919.640 or of any settlement of a debarment or suspension action; or
(5) Violation of the provisions of the Drug-Free Workplace Act of 1988 (41 U.S.C.
701); or
(d) Any other cause of so serious or compelling a nature that it affects your present
responsibility.
6 C.F.R. 37.45 – Background checks for covered employees.
(a) Scope. States are required to subject persons who are involved in the manufacture or
production of REAL ID driver’s licenses and identification cards, or who have the ability
to affect the identity information that appears on the driver’s license or identification
card, or current employees who will be assigned to such positions (“covered employees”
or “covered positions”), to a background check. The background check must include, at a
minimum, the validation of references from prior employment, a name-based and
fingerprint-based criminal history records check, and employment eligibility verification
otherwise required by law. States shall describe their background check process as part of
their security plan, in accordance with § 37.41(b)(4)(ii). This section also applies to
contractors utilized in covered positions.
(b) Background checks. States must ensure that any covered employee under paragraph

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(a) of this section is provided notice that he or she must undergo a background check and
the contents of that check.
(1) Criminal history records check. States must conduct a name-based and fingerprintbased criminal history records check (CHRC) using, at a minimum, the FBI’s National
Crime Information Center (NCIC) and the Integrated Automated Fingerprint
Identification (IAFIS) database and State repository records on each covered employee
identified in paragraph (a) of this section, and determine if the covered employee has
been convicted of any of the following disqualifying crimes:
(i) Permanent disqualifying criminal offenses. A covered employee 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 felonies set forth in 49 CFR
1572.103(a).
(ii) Interim disqualifying criminal offenses. The criminal offenses referenced in 49
CFR 1572.103(b) are disqualifying if the covered employee was either convicted of
those offenses in a civilian or military jurisdiction, or admits having committed acts
which constitute the essential elements of any of those criminal offenses within the
seven years preceding the date of employment in the covered position; or the covered
employee was released from incarceration for the crime within the five years
preceding the date of employment in the covered position.
(iii) Under want or warrant. A covered employee who is wanted or under indictment
in any civilian or military jurisdiction for a felony referenced in this section is
disqualified until the want or warrant is released.
(iv) Determination of arrest status. When a fingerprint-based check discloses an arrest
for a disqualifying crime referenced in this section without indicating a disposition,
the State must determine the disposition of the arrest.
(v) Waiver. The State may establish procedures to allow for a waiver of the
requirements of paragraphs (b)(1)(ii) or (b)(1)(iv) of this section under circumstances
determined by the State. These procedures can cover circumstances where the
covered employee has been arrested, but no final disposition of the matter has been
reached.
(2) Employment eligibility status verification. The State shall ensure it is fully in
compliance with the requirements of section 274A of the Immigration and Nationality
Act (8 U.S.C. 1324a) and its implementing regulations (8 CFR part 274A) with respect
to each covered employee. The State is encouraged to participate in the USCIS EVerify program (or any successor program) for employment eligibility verification.
(3) Reference check. Reference checks from prior employers are not required if the
individual has been employed by the DMV for at least two consecutive years since May
11, 2006.
(4) Disqualification. If results of the State’s CHRC reveal a permanent disqualifying
criminal offense under paragraph (b)(1)(i) or an interim disqualifying criminal offense
under paragraph (b)(1)(ii), the covered employee may not be employed in a position
described in paragraph (a) of this section. An employee whose employment eligibility
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has not been verified as required by section 274A of the Immigration and Nationality
Act (8 U.S.C. 1324a) and its implementing regulations (8 CFR part 274A) may not be
employed in any position.
(c) Appeal. If a State determines that the results from the CHRC do not meet the
standards of such check the State must so inform the employee of the determination to
allow the individual an opportunity to appeal to the State or Federal government, as
applicable.
(d) Background checks substantially similar to the requirements of this section that were
conducted on existing employees on or after May 11, 2006 need not be re-conducted.
10 C.F.R. 73.56 – Personnel access authorization requirements for nuclear power
plants.
(a) General.
(1) Each licensee who is authorized on April 25, 1991, to operate a nuclear power
reactor pursuant to §§ 50.21(b) or 50.22 of this chapter shall comply with the
requirements of this section. By April 27, 1992, the required access authorization
program must be incorporated into the site Physical Security Plan as provided for by 10
CFR 50.54(p)(2) and implemented. By April 27, 1992, each licensee shall certify to the
NRC that it has implemented an access authorization program that meets the
requirements of this part.
(2) Each applicant for a license to operate a nuclear power reactor pursuant to §§
50.21(b) or 50.22 of this chapter, whose application was submitted prior to April 25,
1991, shall either by April 27, 1992, or the date of receipt of the operating license,
whichever is later, incorporate the required access authorization program into the site
Physical Security Plan and implement it.
(3) Each applicant for a license to operate a nuclear power reactor under §§ 50.21(b) or
50.22 of this chapter, including an applicant for a combined license under part 52 of
this chapter, whose application is submitted after April 25, 1991, shall include the
required access authorization program as part of its Physical Security Plan. The
applicant, upon receipt of an operating license or upon notice of the Commission's
finding under § 52.103(g) of this chapter, shall implement the required access
authorization program as part of its site Physical Security Plan.
(4) The licensee may accept an access authorization program used by its contractors or
vendors for their employees provided it meets the requirements of this section. The
licensee may accept part of an access authorization program used by its contractors,
vendors, or other affected organizations and substitute, supplement, or duplicate any
portion of the program as necessary to meet the requirements of this section. In any
case, the licensee is responsible for granting, denying, or revoking unescorted access
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authorization to any contractor, vendor, or other affected organization employee.
(b) General performance objective and requirements.
(1) The licensee shall establish and maintain an access authorization program granting
individuals unescorted access to protected and vital areas with the objective of
providing high assurance that individuals granted unescorted access are trustworthy and
reliable, and do not constitute an unreasonable risk to the health and safety of the public
including a potential to commit radiological sabotage.
(2) Except as provided for in paragraphs (c) and (d) of this section, the unescorted
access authorization program must include the following:
(i) A background investigation designed to identify past actions which are indicative
of an individual's future reliability within a protected or vital area of a nuclear power
reactor. As a minimum, the background investigation must verify an individual's true
identity, and develop information concerning an individual's employment history,
education history, credit history, criminal history, military service, and verify an
individual's character and reputation.
(ii) A psychological assessment designed to evaluate the possible impact of any noted
psychological characteristics which may have a bearing on trustworthiness and
reliability.
(iii) Behavioral observation, conducted by supervisors and management personnel,
designed to detect individual behavioral changes which, if left unattended, could lead
to acts detrimental to the public health and safety.
(3) The licensee shall base its decision to grant, deny, revoke, or continue an unescorted
access authorization on review and evaluation of all pertinent information developed.
(4) Failure by an individual to report any previous suspension, revocation, or denial of
unescorted access to nuclear power reactors is considered sufficient cause for denial of
unescorted access authorization.
10 C.F.R. Pt. 73, App. B – General criteria for security personnel
INTRODUCTION
Security personnel who are responsible for the protection of special nuclear material on
site or in transit and for the protection of the facility or shipment vehicle against
radiological sabotage should, like other elements of the physical security system, be
required to meet minimum criteria to ensure that they will effectively perform their
assigned security-related job duties. In order to ensure that those individuals responsible
for security are properly equipped and qualified to execute the job duties prescribed for
them, the NRC has developed general criteria that specify security personnel qualification
requirements.
These general criteria establish requirements for the selection, training, equipping,
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testing, and qualification of individuals who will be responsible for protecting special
nuclear materials, nuclear facilities, and nuclear shipments.
When required to have security personnel that have been trained, equipped, and qualified
to perform assigned security job duties in accordance with the criteria in this appendix,
the licensee must establish, maintain, and follow a plan that shows how the criteria will
be met. The plan must be submitted to the NRC for approval and must be implemented
within 30 days after approval by the NRC unless otherwise specified by the NRC in
writing.
…

CRITERIA
I. Employment suitability and qualification.
A. Suitability: 1. Prior to employment, or assignment to the security organization, an
individual shall meet the following suitability criteria:
a. Educational development--Possess a high school diploma or pass an equivalent
performance examination designed to measure basic job-related mathematical, language,
and reasoning skills, ability, and knowledge, required to perform security job duties.
b. Felony convictions--Have no felony convictions involving the use of a weapon and no
felony convictions that reflect on the individual's reliability.
14 C.F.R. 61.15 – Offenses involving alcohol or drugs.
(a) A conviction for the violation of any Federal or State statute relating to the growing,
processing, manufacture, sale, disposition, possession, transportation, or importation of
narcotic drugs, marijuana, or depressant or stimulant drugs or substances is grounds for:
(1) Denial of an application for any certificate, rating, or authorization issued under this
part for a period of up to 1 year after the date of final conviction; or
(2) Suspension or revocation of any certificate, rating, or authorization issued under this
part.
…
(c) For the purposes of paragraphs (d), (e), and (f) of this section, a motor vehicle action
means:
(1) A conviction after November 29, 1990, for the violation of any Federal or State
statute relating to the operation of a motor vehicle while intoxicated by alcohol or a
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drug, while impaired by alcohol or a drug, or while under the influence of alcohol or a
drug;
(2) The cancellation, suspension, or revocation of a license to operate a motor vehicle
after November 29, 1990, for a cause related to the operation of a motor vehicle while
intoxicated by alcohol or a drug, while impaired by alcohol or a drug, or while under
the influence of alcohol or a drug; or
(3) The denial after November 29, 1990, of an application for a license to operate a
motor vehicle for a cause related to the operation of a motor vehicle while intoxicated
by alcohol or a drug, while impaired by alcohol or a drug, or while under the influence
of alcohol or a drug.
(d) Except for a motor vehicle action that results from the same incident or arises out of
the same factual circumstances, a motor vehicle action occurring within 3 years of a
previous motor vehicle action is grounds for:
(1) Denial of an application for any certificate, rating, or authorization issued under this
part for a period of up to 1 year after the date of the last motor vehicle action; or
(2) Suspension or revocation of any certificate, rating, or authorization issued under this
part.
…
20 C.F.R. 404.1506 – When we will not consider your impairment.
(a) Permanent exclusion of felony-related impairment. In determining whether you are
under a disability, we will not consider any physical or mental impairment, or any
increase in severity (aggravation) of a preexisting impairment, which arises in connection
with your commission of a felony after October 19, 1980, if you are subsequently
convicted of this crime. Your subsequent conviction will invalidate any prior
determination establishing disability if that determination was based upon any
impairment, or aggravation, which we must exclude under this rule.
(b) Limited use of impairment arising in prison. In determining whether you are under a
disability for purposes of benefit payments, we will not consider any physical or mental
impairment, or any increase in severity (aggravation) of a preexisting impairment, which
arises in connection with your confinement in a jail, prison, or other penal institution or
correctional facility for conviction of a felony committed after October 19, 1980. The
exclusion of the impairment, or aggravation, applies in determining disability for benefits
payable for any month during which you are confined. This rule does not preclude the
establishment of a period of disability based upon the impairment or aggravation. You
may become entitled to benefits upon release from prison provided that you apply and are
under a disability at the time.

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(c) Felonious offenses. We will consider an offense a felony if-(1) It is a felony under applicable law; or
(2) In a jurisdiction which does not classify any crime as a felony, it is an offense
punishable by death or imprisonment for a term exceeding one year.
(d) Confinement. In general, a jail, prison, or other penal institution or correctional
facility is a facility which is under the control and jurisdiction of the agency in charge of
the penal system or in which convicted criminals can be incarcerated. Confinement in
such a facility continues as long as you are under a sentence of confinement and have not
been released due to parole or pardon. You are considered confined even though you are
temporarily or intermittently outside of the facility (e.g., on work release, attending
school, or hospitalized).
22 C.F.R. 62.25 – Secondary school students.
(Hyperlink to return to section regarding foreign exchange students)
(a) Introduction. This section governs Department of State designated exchange visitor
programs under which foreign national secondary school students are afforded the
opportunity for up to one year of study in a United States accredited public or private
secondary school, while living with an American host family or residing at an accredited
U.S. boarding school.
…
(d) Program administration. Sponsors must ensure that all officers, employees,
representatives, agents, and volunteers acting on their behalf:
(1) Are adequately trained and supervised and that any such person in direct personal
contact with exchange students has been vetted through a criminal background check;
…
(j) Host family selection. Sponsors must adequately screen and select all potential host
families and at a minimum must:
…
(7) Verify that each member of the host family household eighteen years of age and
older has undergone a criminal background check; and
(8) Maintain a record of all documentation, including but not limited to application
forms, background checks, evaluations, and interviews, for all selected host families for
a period of three years.
…

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22 C.F.R. 62.31 – Au pairs.
(a) Introduction. This section governs Department of State-designated exchange visitor
programs under which foreign nationals are afforded the opportunity to live with an
American host family and participate directly in the home life of the host family. All au
pair participants provide child care services to the host family and attend a U.S. postsecondary educational institution. Au pair participants provide up to forty-five hours of
child care services per week and pursue not less than six semester hours of academic
credit or its equivalent during their year of program participation. Au pairs participating
in the EduCare program provide up to thirty hours of child care services per week and
pursue not less than twelve semester hours of academic credit or its equivalent during
their year of program participation.
…
(h) Host family selection. Sponsors shall adequately screen all potential host families and
at a minimum shall:
…
(4) Require that host parents and other adults living full-time in the household have
successfully passed a background investigation including employment and personal
character references;
…
24 C.F.R. 982.553 – Denial of admission and termination of assistance for criminals
and alcohol abusers.
(a) Denial of admission.
(1) Prohibiting admission of drug criminals.
(i) The PHA must prohibit admission to the program of an applicant for three years
from the date of eviction if a household member has been evicted from federally
assisted housing for drug-related criminal activity. However, the PHA may admit the
household if the PHA determines:
(A) That the evicted household member who engaged in drug-related criminal
activity has successfully completed a supervised drug rehabilitation program
approved by the PHA; or
(B) That the circumstances leading to eviction no longer exist (for example, the
criminal household member has died or is imprisoned).
(ii) The PHA must establish standards that prohibit admission if:
(A) The PHA determines that any household member is currently engaging in
illegal use of a drug;
(B) The PHA determines that it has reasonable cause to believe that a household
member’s illegal drug use or a pattern of illegal drug use may threaten the health,
safety, or right to peaceful enjoyment of the premises by other residents; or
(C) Any household member has ever been convicted of drug-related criminal
activity for manufacture or production of methamphetamine on the premises of
federally assisted housing.
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(2) Prohibiting admission of other criminals—
(i) Mandatory prohibition. The PHA must establish standards that prohibit admission
to the program if any member of the household is subject to a lifetime registration
requirement under a State sex offender registration program. In this screening of
applicants, the PHA must perform criminal history background checks necessary to
determine whether any household member is subject to a lifetime sex offender
registration requirement in the State where the housing is located and in other States
where the household members are known to have resided.
(ii) Permissive prohibitions.
(A) The PHA may prohibit admission of a household to the program if the PHA
determines that any household member is currently engaged in, or has engaged in
during a reasonable time before the admission:
(1) Drug-related criminal activity;
(2) Violent criminal activity;
(3) Other criminal activity which may threaten the health, safety, or right to
peaceful enjoyment of the premises by other residents or persons residing in the
immediate vicinity; or
(4) Other criminal activity which may threaten the health or safety of the owner,
property management staff, or persons performing a contract administration
function or responsibility on behalf of the PHA (including a PHA employee or a
PHA contractor, subcontractor or agent).
(B) The PHA may establish a period before the admission decision during which an
applicant must not to have engaged in the activities specified in paragraph (a)(2)(i)
of this section (“reasonable time”).
(C) If the PHA previously denied admission to an applicant because a member of
the household engaged in criminal activity, the PHA may reconsider the applicant if
the PHA has sufficient evidence that the members of the household are not
currently engaged in, and have not engaged in, such criminal activity during a
reasonable period, as determined by the PHA, before the admission decision.
(1) The PHA would have “sufficient evidence” if the household member
submitted a certification that she or he is not currently engaged in and has not
engaged in such criminal activity during the specified period and provided
supporting information from such sources as a probation officer, a landlord,
neighbors, social service agency workers and criminal records, which the PHA
verified.
(2) For purposes of this section, a household member is “currently engaged in”
criminal activity if the person has engaged in the behavior recently enough to
justify a reasonable belief that the behavior is current.
(3) Prohibiting admission of alcohol abusers. The PHA must establish standards
that prohibit admission to the program if the PHA determines that it has
reasonable cause to believe that a household member’s abuse or pattern of abuse
of alcohol may threaten the health, safety, or right to peaceful enjoyment of the
premises by other residents.
(b) Terminating assistance—
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(1) Terminating assistance for drug criminals.
(i) The PHA must establish standards that allow the PHA to terminate assistance for a
family under the program if the PHA determines that:
(A) Any household member is currently engaged in any illegal use of a drug; or
(B) A pattern of illegal use of a drug by any household member interferes with the
health, safety, or right to peaceful enjoyment of the premises by other residents.
(ii) The PHA must immediately terminate assistance for a family under the program if
the PHA determines that any member of the household has ever been convicted of
drug-related criminal activity for manufacture or production of methamphetamine on
the premises of federally assisted housing.
(iii) The PHA must establish standards that allow the PHA to terminate assistance
under the program for a family if the PHA determines that any family member has
violated the family’s obligation under § 982.551 not to engage in any drug-related
criminal activity.
(2) Terminating assistance for other criminals. The PHA must establish standards that
allow the PHA to terminate assistance under the program for a family if the PHA
determines that any household member has violated the family’s obligation under §
982.551 not to engage in violent criminal activity.
(3) Terminating assistance for alcohol abusers. The PHA must establish standards that
allow termination of assistance for a family if the PHA determines that a household
member’s abuse or pattern of abuse of alcohol may threaten the health, safety, or right
to peaceful enjoyment of the premises by other residents.
(c) Evidence of criminal activity. The PHA may terminate assistance for criminal activity
by a household member as authorized in this section if the PHA determines, based on a
preponderance of the evidence, that the household member has engaged in the activity,
regardless of whether the household member has been arrested or convicted for such
activity.
(d) Use of criminal record.—
(1) Denial. If a PHA proposes to deny admission for criminal activity as shown by a
criminal record, the PHA must provide the subject of the record and the applicant with
a copy of the criminal record. The PHA must give the family an opportunity to dispute
the accuracy and relevance of that record, in the informal review process in accordance
with § 982.554. (See part 5, subpart J for provision concerning access to criminal
records.)
(2) Termination of assistance. If a PHA proposes to terminate assistance for criminal
activity as shown by a criminal record, the PHA must notify the household of the
proposed action to be based on the information and must provide the subject of the
record and the tenant with a copy of the criminal record. The PHA must give the family

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an opportunity to dispute the accuracy and relevance of that record in accordance with
§ 982.555.
(3) Cost of obtaining criminal record. The PHA may not pass along to the tenant the
costs of a criminal records check.
28 C.F.R. 97.11 – Pre-employment screening.
Private prisoner transport companies must adopt pre-employment screening measures for
all potential employees. The pre-employment screening measures must include a
background check and a test for use of controlled substances. The failure of a potential
employee to pass either screening measure will act as a bar to employment.
(a) Background checks must include:
(1) A fingerprint-based criminal background check that disqualifies persons with either
a prior felony conviction or a State or Federal conviction for a misdemeanor crime of
domestic violence as defined in 18 U.S.C. 921;
(2) A Credit Report check;
(3) A physical examination; and
(4) A personal interview.
(b) Testing for controlled substances.
(1) Pre-employment testing for controlled substances must be in accordance with
applicable State law.
(2) In the event that there is no applicable State law, pre-employment testing for
controlled substances must be in accordance with the provisions of Department of
Transportation regulations at 49 CFR 382.301 which will apply regardless of whether a
private prisoner transport company is covered by Department of Transportation
regulations.
(c) The criminal background check references in paragraph (a)(1) of this section may not
be submitted directly to the FBI or any other Federal agency. The private prisoner
transport companies must arrange the procedures for accomplishing the criminal
background checks with their contracting governmental agencies. In the event that the
private prisoner transport company is contracting with a privately run incarceration
facility, and not directly with a governmental entity, the private prisoner transport
company will have to make arrangements through the private incarceration facility to
have the checks completed by the governmental entity ultimately requesting the transport.

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28 C.F.R. 105.23 – Procedure for requesting criminal history record check
These procedures only apply to participating states. An authorized employer may obtain a
State and national criminal history record check as authorized by section 6402 of Public
Law 105-458 as follows:
(a) An authorized employer is required to execute a certification to the State, developed
by the SIB or the relevant state agency for purposes of accepting requests for these
background checks, declaring that it is an authorized employer that employs private
security officers; that all fingerprints and requests for criminal history background checks
are being submitted for private security officers; that it will use the information obtained
as a result of the state and national criminal history record checks solely for the purpose
of screening its private security officers; and that it will abide by other regulatory
obligations. To help ensure that only legitimate use is made of this authority, the
certification shall be executed under penalties of perjury, false statement, or other
applicable state laws.
(b) An authorized employer must obtain a set of fingerprints and the written consent of
its employee to submit those prints for a state and national criminal history record check.
An authorized employer must submit the fingerprints and appropriate state and federal
fees to the SIB in the manner specified by the SIB.
(c) Upon receipt of an employee's fingerprints, the SIB shall perform a fingerprint-based
search of its criminal records. If no relevant criminal record is found, the SIB shall
submit the fingerprints to the FBI for a national search.
(d) Upon the conclusion of the national search, the FBI will disseminate the results to the
SIB.
(e) Based upon the results of the state check and, if necessary, the national check:
(1) If the State has standards for qualifying a private security officer, the SIB or other
designated state agency shall apply those standards to the CHRI and notify the
authorized employer of the results of the application of the state standards; or
(2) If the State does not have standards for qualifying a private security officer, the SIB
or other designated state agency shall notify an authorized employer as to the fact of
whether an applicant has been:
(i) Convicted of a felony;
(ii) Convicted of a lesser offense involving dishonesty or false statement if occurring
within the previous ten years;
(iii) Convicted of a lesser offense involving the use or attempted use of physical force
against the person of another if occurring within the previous ten years; or
(iv) Charged with a felony during the previous 365 days for which there has been no
resolution.
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(f) The limitation periods set forth in paragraph (e)(2) of this section shall be determined
using the date the employee's fingerprints were submitted. An employee shall be
considered charged with a criminal felony for which there has been no resolution during
the preceding 365 days if the individual is the subject of a complaint, indictment, or
information, issued within 365 days of the date that the fingerprints were taken, for a
crime punishable by imprisonment for more than one year. The effect of various forms of
post-conviction relief shall be determined by the law of the convicting jurisdiction.
28 C.F.R. 105.24 – Employee's rights.
An employee is entitled to:
(a) Obtain a copy from the authorized employer of any information concerning the
employee provided under these regulations to the authorized employer by the
participating State;
(b) Determine the status of his or her CHRI by contacting the SIB or other state agency
providing information to the authorized employer; and
(c) Challenge the CHRI by contacting the agency originating the record or complying
with the procedures contained in 28 CFR 16.34.
32 C.F.R. Pt. 86, App. B
Appendix B to Part 86--Criteria For Criminal History Background Check
Disqualification
The ultimate decision to determine how to use information obtained from the criminal
history background checks in selection for positions involving the care, treatment,
supervision, or education of children must incorporate a common sense decision based
upon all known facts. Adverse information is evaluated by the DoD Component Head or
designee who is qualified at the appropriate level of command in interpreting criminal
history background checks. All information of record both favorable and unfavorable will
be assessed in terms of its relevance, recentness, and seriousness. Likewise, positive
mitigating factors should be considered. Final suitability decisions shall be made by that
commander or designee. Criteria that will result in disqualification of an applicant require
careful screening of the data and include, but are not limited to, the following:
A. Mandatory Disqualifying Criteria
Any conviction for a sexual offense, a drug felony, a violent crime, or a criminal offense
involving a child or children.
B. Discretionary Criteria

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1. Acts that may tend to indicate poor judgment, unreliability, or untrustworthiness in
working with children.
2. Any behavior; illness; or mental, physical, or emotional condition that in the opinion
of a competent medical authority may cause a defect in judgment or reliability.
3. Offenses involving assault, battery, or other abuse of a victim, regardless of age of
the victim.
4. Evidence or documentation of substance abuse dependency.
5. Illegal or improper use, possession, or addiction to any controlled or psychoactive
substances, narcotic, cannabis, or other dangerous drug.
6. Sexual acts, conduct, or behavior that, because of the circumstances in which they
occur, may indicate untrustworthiness, unreliability, lack of judgment, or
irresponsibility in working with children.
7. A wide range of offenses such as arson, homicide, robbery, fraud, or any offense
involving possession or use of a firearm.
8. Evidence that the individual is a fugitive from justice.
9. Evidence that the individual is an illegal alien who is not entitled to accept gainful
employment for a position.
10. A finding of negligence in a mishap causing death or serious injury to a child or
dependent person entrusted to their care.
C. Suitability Considerations
In making a determination of suitability, the evaluator shall consider the following
additional factors to the extent that these examples are considered pertinent to the
individual case:
1. The kind of position for which the individual is applying or employed.
2. The nature and seriousness of the conduct.
3. The recentness of the conduct.
4. The age of the individual at the time of the conduct.
5. The circumstances surrounding the conduct.
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6. Contributing social or environmental conditions.
7. The absence or presence of rehabilitation or efforts toward rehabilitation.
8. The nexus of the arrests in regard to the job to be performed.
D. Questions
1. All applications, for each of the categories of individuals identified in § 86.3, will
include the following questions: “Have you ever been arrested for or charged with a
crime involving a child? Have you ever been asked to resign because of or been
decertified for a sexual offense? And, if so, “provide a description of the case
disposition.” For FCC, foster care, and respite care providers, this question is asked of
the applicant regarding all adults, and all children 12 years and older, who reside in the
household.
2. All applications shall state that the form is being signed under penalty of perjury. In
addition, a false statement rendered by an employee may result in adverse action up to
and including removal from Federal service.
3. Evaluation of criminal history background checks is made and monitored by
qualified personnel at the appropriate level designated by the Component. Final
suitability decisions are made by the designee.
42 C.F.R. 418.114 – Condition of participation: Personnel qualifications.
(a) General qualification requirements. Except as specified in paragraph (c) of this
section, all professionals who furnish services directly, under an individual contract, or
under arrangements with a hospice, must be legally authorized (licensed, certified or
registered) in accordance with applicable Federal, State and local laws, and must act only
within the scope of his or her State license, or State certification, or registration. All
personnel qualifications must be kept current at all times.
…
(d) Standard: Criminal background checks.
(1) The hospice must obtain a criminal background check on all hospice employees
who have direct patient contact or access to patient records. Hospice contracts must
require that all contracted entities obtain criminal background checks on contracted
employees who have direct patient contact or access to patient records.
(2) Criminal background checks must be obtained in accordance with State
requirements. In the absence of State requirements, criminal background checks must
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be obtained within three months of the date of employment for all states that the
individual has lived or worked in the past 3 years.
45 C.F.R. 2522.205 – To whom must I apply suitability criteria relating to criminal
history?
You must apply suitability criteria relating to criminal history to a participant or staff
position for which an individual receives a Corporation grant-funded living allowance,
stipend, education award, salary, or other remuneration, and which involves recurring
access to children, persons age 60 and older, or individuals with disabilities.
45 C.F.R. 2522.206 – What suitability criteria must I apply to a covered position?
Any individual who is registered, or required to be registered, on a State sex offender
registry is deemed unsuitable for, and may not serve in, a covered position.
45 C.F.R. 2522.230 – Under what circumstances may AmeriCorps participants be
released from completing a term of service, and what are the consequences?
An AmeriCorps program may release a participant from completing a term of service for
compelling personal circumstances as demonstrated by the participant, or for cause.
…
(b) Release for cause.
(1) A release for cause encompasses any circumstances other than compelling personal
circumstances that warrant an individual’s release from completing a term of service.
(2) AmeriCorps programs must release for cause any participant who is convicted of a
felony or the sale or distribution of a controlled substance during a term of service.
(3) A participant who is released for cause may not receive any portion of the
AmeriCorps education award or any other payment from the National Service Trust.
(4) An individual who is released for cause must disclose that fact in any subsequent
applications to participate in an AmeriCorps program. Failure to do so disqualifies the
individual for an education award, regardless of whether the individual completes a
term of service.
(5) An AmeriCorps*State/National participant released for cause may contest the
program’s decision by filing a grievance. Pending the resolution of a grievance
procedure filed by an individual to contest a determination by a program to release the
individual for cause, the individual’s service is considered to be suspended. For this
type of grievance, a program may not—while the grievance is pending or as part of its
resolution—provide a participant with federally-funded benefits (including payments
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from the National Service Trust) beyond those attributable to service actually
performed, without the program receiving written approval from the Corporation.
(6) An individual’s eligibility for a second term of service in AmeriCorps will not be
affected by release for cause from a prior term of service so long as the individual
received a satisfactory end-of-term performance review as described in §
2522.240(d)(2) for the period served in the first term.
(7) Except as provided in paragraph (e) of this section, a term of service from which an
individual is released for cause counts as one of the two terms of service described in §
2522.220(b) for which an individual may receive the benefits described in §§
2522.240 through 2522.250.
(c) Suspended service.
(1) A program must suspend the service of an individual who faces an official charge of
a violent felony (e.g., rape, homicide) or sale or distribution of a controlled substance.
(2) A program must suspend the service of an individual who is convicted of possession
of a controlled substance.
(3) An individual may not receive a living allowance or other benefits, and may not
accrue service hours, during a period of suspension under this provision.
(d) Reinstatement.
(1) A program may reinstate an individual whose service was suspended under
paragraph (c)(1) of this section if the individual is found not guilty or if the charge is
dismissed.
(2) A program may reinstate an individual whose service was suspended under
paragraph (c)(2) of this section only if the individual demonstrates the following:
(i) For an individual who has been convicted of a first offense of the possession of a
controlled substance, the individual must have enrolled in a drug rehabilitation
program;
(ii) For an individual who has been convicted for more than one offense of the
possession of a controlled substance, the individual must have successfully completed
a drug rehabilitation program.
(e) Release prior to serving 15 percent of a term of service. If a participant is released for
reasons other than misconduct prior to completing 15 percent of a term of service, the
term will not be considered one of the two terms of service described in §
2522.220(b) for which an individual may receive the benefits described in §§
2522.240 through 2522.250.

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45 C.F.R. 2540.200 – To whom must I apply suitability criteria relating to criminal
history?
You must apply suitability criteria relating to criminal history to an individual applying
for, or serving in, a position for which an individual receives a Corporation grant-funded
living allowance, stipend, education award, salary, or other remuneration, and which
involves recurring access to children, persons age 60 and older, or individuals with
disabilities.
45 C.F.R. 2540.201 – What suitability criteria must I apply to a covered position?
Any individual who is registered, or required to be registered, on a State sex offender
registry is deemed unsuitable for, and may not serve in, a position covered by suitability
criteria.
45 C.F.R. 2540.202 – What two search components of the National Service Criminal
History Check must I satisfy to determine an individual’s suitability to serve in a
covered position?
Unless the Corporation approves an alternative screening protocol, in determining an
individual’s suitability to serve in a covered position, you are responsible for conducting
and documenting a National Service Criminal History Check, which consists of the
following two search components:
(a) State criminal registry search. A search (by name or fingerprint) of the State criminal
registry for the State in which your program operates and the State in which the
individual resides at the time of application; and
(b) National Sex Offender Public Registry. A name-based search of the Department of
Justice (DOJ) National Sex Offender Public Registry (NSOPR).
45 C.F.R. 2540.203 – When must I conduct a State criminal registry check and a
NSOPR check on an individual in a covered position?
(a) The State criminal registry check must be conducted on an individual who enrolls in,
or is hired by, your program after November 23, 2007.
(b) The NSOPR check must be conducted on an individual who is serving, or applies to
serve, in a covered position on or after November 23, 2007.
(c) For an individual who serves consecutive terms of service in your program with a
break in service of no more than 30 days, no additional check is required after the first
term.

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45 C.F.R. 2540.204 – What procedures must I follow in conducting a National
Service Criminal History Check for a covered position?
You are responsible for following these procedures:
(a) Verify the individual’s identity by examining the individual’s government-issued
photo identification card, such as a driver’s license;
(b) Obtain prior, written authorization for the State criminal registry check and the
appropriate sharing of the results of that check within the program from the individual
(but not for the NSOPR check);
(c) Document the individual’s understanding that selection into the program is contingent
upon the organization’s review of the individual’s criminal history, if any;
(d) Provide a reasonable opportunity for the individual to review and challenge the
factual accuracy of a result before action is taken to exclude the individual from the
position;
(e) Provide safeguards to ensure the confidentiality of any information relating to the
criminal history check, consistent with authorization provided by the applicant; and
(f) Ensure that an individual, for whom the results of a required State criminal registry
check are pending, is not permitted to have access to children, persons age 60 and older,
or individuals with disabilities without being accompanied by an authorized program
representative who has previously been cleared for such access.
46 C.F.R. 12.02-4 – Basis for denial of a merchant mariner’s document.

(a) No person who has been convicted by a court of record of a violation of the
dangerous-drug laws of the United States, the District of Columbia, any State, territory,
or possession of the United States, a foreign country, or any military court, is eligible for
a merchant mariner’s document, except as provided by paragraph (c) of this section. No
person who has ever been the user of a dangerous drug, addicted or not, or has ever been
convicted of an NDR offense described in section 205 of the National Driver Register
Act of 1982, as amended (49 U.S.C. 30304) because of addiction to or abuse of alcohol is
eligible for a merchant mariner’s document, unless he or she furnishes satisfactory
evidence of suitability for service in the merchant marine as provided in paragraph (e) of
this section.
(b) An applicant who fails a chemical test for dangerous drugs required by § 12.02-9 will
not be issued a merchant mariner’s document.
(c) Criminal Record Review and Safety and Security Check. The Coast Guard may
conduct a criminal record review and conduct a safety and security check of an applicant
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for a merchant mariner’s document. An applicant pursuing simultaneous transactions for
merchant mariner’s credentials shall undergo a single criminal record review and safety
and security check. Each applicant must provide written disclosure of all prior
convictions (as defined in § 12.01-6) at the time of application.
(1) When a criminal record review and a safety and security check are conducted, the
applicant shall provide fingerprints in a form and manner specified by the Coast Guard.
(i) When a criminal record review or a safety and security check leads the Coast
Guard to determine that an applicant is not a safe and suitable person (as defined in §
12.01-6) or cannot be entrusted with the duties and responsibilities of the merchant
mariner’s document for which application is made, the application may be
disapproved.
(ii) If an application is disapproved, the applicant will be notified in writing of the
fact, and, except as provided by this paragraph, the reason or reasons for disapproval
and advised that the appeal procedures in § 1.03 of this chapter apply. No
examination will be given pending decision on appeal. The applicant will be notified
in writing of the reason or reasons for disapproval, unless the Coast Guard determines
that such disclosure of information is prohibited by law, regulation, or agency policy,
in which case the reason(s) will not be disclosed.
(2) The Officer in Charge, Marine Inspection will use table 12.02-4(c) to evaluate
applicants for merchant mariner’s documents who have criminal convictions. The table
lists major categories of criminal activity and is not to be construed as an all-inclusive
list. If an applicant is convicted of an offense that does not appear on the list, the
Officer in Charge, Marine Inspection will establish an appropriate assessment period
using the list as a guide. The assessment period commences when an applicant is no
longer incarcerated. The applicant must establish proof of the time incarcerated and
periods of probation and parole to the satisfaction of the Officer in Charge, Marine
Inspection. The assessment period may include supervised or unsupervised probation or
parole. A conviction for a drug offense more than 10 years prior to the date of
application will not alone be grounds for denial.
(3) When an applicant has convictions for more than one offense, the minimum
assessment period will be the longest minimum in table 12.02-4(c) and table 12.02-4(d)
based upon the applicant’s convictions; the maximum assessment period will be the
longest shown in table 12.02-4(c) and table 12.02-4(d) based upon the applicant’s
convictions.
(4) If a person with a criminal conviction applies for a merchant mariner’s document
before the minimum assessment period shown in table 12.02-4(c), or established by the
Officer in Charge, Marine Inspection under paragraph (c)(2) of this section has elapsed,
then the applicant must provide, as part of the application package, evidence of
suitability for service in the merchant marine. Factors which are evidence of suitability
for service in the merchant marine are listed in paragraph (e) of this section. The
Officer in Charge, Marine Inspection will consider the applicant’s evidence submitted
with the application and may issue the merchant mariner’s document in less than the
listed minimum assessment period if the Officer in Charge, Marine Inspection is
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satisfied that the applicant is suitable to hold the merchant mariner’s document for
which he or she has applied. If an application filed before the minimum assessment
period has elapsed does not include evidence of suitability for service in the merchant
marine, then the application will be considered incomplete and will not be processed by
the Officer in Charge, Marine Inspection until the applicant provides the necessary
evidence as set forth in paragraph (e) of this section.
(5) If a person with a criminal conviction applies for a merchant mariner’s document
during the time between the minimum and maximum assessment periods shown in
table 12.02-4(c) or established by the Officer in Charge, Marine Inspection under
paragraph (c)(2) of this section, then the Officer in Charge, Marine Inspection shall
consider the conviction and, unless there are offsetting factors, shall grant the applicant
the merchant mariner’s document for which he or she has applied. Offsetting factors
include such factors as multiple convictions, failure to comply with court orders (e.g.,
child support orders), previous failures at rehabilitation or reform, inability to maintain
steady employment, or any connection between the crime and the safe operation of a
vessel. If the Officer in Charge, Marine Inspection considers the applicant unsuitable
for service in the merchant marine at the time of application, the Officer in Charge,
Marine Inspection may disapprove the application.
(6) If a person with a criminal conviction applies for a merchant mariner’s document
after the maximum assessment period shown in table 12.02-4(c) or established by the
Officer in Charge, Marine Inspection under paragraph (c)(2) of this section, has
elapsed, then the Officer in Charge, Marine Inspection will grant the applicant the
merchant mariner’s document for which he or she has applied unless the Officer in
Charge, Marine Inspection considers the applicant still unsuitable for service in the
merchant marine. If the Officer in Charge, Marine Inspection disapproves an applicant
with a conviction older than the maximum assessment period listed in table 12.02-4(c),
the Officer in Charge, Marine Inspection will notify the applicant in writing of the
reason(s) for the disapproval including the Officer in Charge, Marine Inspection’s
reason(s) for considering a conviction older than the maximum assessment period listed
in table 12.02-4(c). The Officer in Charge, Marine Inspection will also inform the
applicant, in writing, that the reconsideration and appeal procedures contained in § 1.03
of this chapter apply.
Table 12.02-4(c).—Guidelines for Evaluating Applicants for Merchant Mariner’s
Documents Who Have Criminal Convictions
[FN1]
Crime
Assessment periods
Minimum
Maximum
Crimes Against Persons
Homicide (intentional)
7 years
20 years.
Homicide (unintentional)
5 years
10 years.
Assault (aggravated)
5 years
10 years.
Assault (simple)
1 year
5 years.
Sexual Assault (rape, child
5 years
10 years.
molestation)
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Other crimes against persons [FN2]
Conviction involving fatality
Reckless Driving
Racing on the Highway
Other vehicular crimes [FN2]

Vehicular Crimes
1 year
1 year
1 year

Crimes Against Public Safety
Destruction of Property
5 years
Other crimes against public safety

5 years.
2 years.
2 years.

10 years.

[FN2]

Crimes Involving National Security
Terrorism, Acts of Sabotage,
7 years
20 years.
Espionage and related offenses
Dangerous Drug Offenses [FN3], [FN4], [FN5]
Trafficking (sale, distribution,
5 years
10 years.
transfer)
Dangerous drugs (Use or possession) 1 year
10 years.
Other dangerous drug convictions
[FN6]
.
[FN1]
Conviction of attempts, solicitations, aiding and abetting, accessory after the fact,
and conspiracies to commit the criminal conduct listed in this table carry the same
minimum and maximum assessment periods provided in the table.
[FN2]

Other crimes are to be reviewed by the Officer in Charge, Marine Inspection to
determine the minimum and maximum assessment periods depending on the nature of the
crime.
[FN3]

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
(a) of this section. Note: Applicants for reissue of a merchant mariner’s document with a
new expiration date including a renewal or additional endorsement(s), who have been
convicted of a dangerous drug offense while holding a merchant mariner’s document,
may have their application withheld until appropriate action has been completed by the
Officer in Charge, Marine Inspection under the regulations which appear in 46 CFR part
5 governing the administrative actions against merchant mariner credentials.
[FN4]

The OCMI may consider dangerous drug convictions more than 10 years old only if
there has been a dangerous drug conviction within the past 10 years.
[FN5]

Applicants must demonstrate rehabilitation under paragraph (e) of this section,
including applicants with dangerous drug use convictions more than ten years old.

[FN6]

Other dangerous drug convictions are to be reviewed by the Officer in Charge,
Marine Inspection on a case by case basis to determine the appropriate assessment period
depending on the nature of the offense.
(d) National Driver Register. A merchant mariner’s document will not be issued or
reissued with a new expiration date unless the applicant consents to a check of the NDR
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for offenses described in section 205(a)(3)(A) or (B) of the NDR Act (i.e., operation of a
motor vehicle while under the influence of, or impaired by, alcohol or a controlled
substance; and any traffic violations arising in connection with a fatal traffic accident,
reckless driving, or racing on the highways). The Officer in Charge, Marine Inspection
will not consider NDR listed civil convictions that are more than 3 years old from the
date of request unless that information relates to the current suspension or revocation of
the applicant’s license to operate a motor vehicle. The Officer in Charge Marine
Inspection may determine minimum and maximum assessment periods for NDR listed
criminal convictions using table 12.02-4(c). An applicant conducting simultaneous
merchant mariner’s credential transactions is subject to only one NDR check.
(1) Any application may be disapproved if information from the NDR check leads the
Officer in Charge, Marine Inspection to determine that the applicant cannot be
entrusted with the duties and responsibilities of the merchant mariner’s document for
which the application is made. If an application is disapproved, the Officer in Charge,
Marine Inspection will notify the applicant in writing of the reason(s) for disapproval
and advise the applicant that the appeal procedures in § 1.03 of this chapter apply. No
examination will be given or merchant mariner’s document issued pending decision on
appeal.
(2) Prior to disapproving an application because of information received from the NDR,
the Officer in Charge, Marine Inspection will make the information available to the
applicant for review and written comment. The applicant may submit reports from the
applicable State concerning driving record and convictions to the Coast Guard Regional
Examination Center (REC) processing the application. The REC will hold an
application with NDR listed convictions pending the completion of the evaluation and
delivery by the individual of the underlying State records.
(3) The guidelines in table 12.02-4(d) will be used by the Officer in Charge, Marine
Inspection when evaluating applicants for merchant mariner’s documents who have
drug or alcohol related NDR listed convictions. Non-drug or alcohol related NDR listed
convictions will be evaluated by the Officer in Charge, Marine Inspection under table
12.02-4(c) as applicable.
…
Table 12.02-4(d).—Guidelines for Evaluating Applicants for Merchant Mariner’s
Documents Who Have NDR Motor Vehicle Convictions Involving Dangerous Drugs or
Alcohol [FN1]
No. of
Date of
convictions conviction
1
Less than
1 year
1
More than
1, less than
3 years
1
More than

Assessment period
1 year from date of conviction.
Application will be processed, unless suspension, or revocation
[FN2]
is still in effect. Applicant will be advised that additional
conviction(s) may jeopardize merchant mariner credentials.
Not necessary unless suspension or revocation is still in effect.
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3 years old
2 or more
Any less
1 year since last conviction and at least 3 years from 2nd most
than 3
recent conviction, unless suspension or revocation is still in
years old
effect.
2 or more
All more
Application will be processed unless suspension or revocation
than 3
is still in effect.
years old
[FN1]
Any applicant who has ever been the user of, or addicted to the use of, a dangerous
drug shall meet the requirements of paragraph (a) of this section.
[FN2]

Suspension or revocation, when referred to in Table 12.02-4(d), means a State
suspension or revocation of a motor vehicle operator’s license.

(e) If an applicant for an original merchant mariner’s document has one or more alcohol
or dangerous drug related criminal or NDR listed convictions; if the applicant has ever
been the user of, or addicted to the use of, a dangerous drug; or if the applicant applies
before the minimum assessment period for his or her conviction has elapsed; the Officer
in Charge, Marine Inspection may consider the following factors, as applicable, in
assessing the applicant’s suitability to hold a merchant mariner’s document. This list is
intended as a guideline. The Officer in Charge, Marine Inspection may consider other
factors which he or she judges appropriate, such as:
(1) Proof of completion of an accredited alcohol- or drug-abuse rehabilitation program.
(2) Active membership in a rehabilitation or counseling group, such as Alcoholics or
Narcotics Anonymous.
(3) Character references from persons who can attest to the applicant’s sobriety,
reliability, and suitability for employment in the merchant marine including parole or
probation officers.
(4) Steady employment.
(5) Successful completion of all conditions of parole or probation.
47 C.F.R. 73.4280 – Character evaluation of broadcast applicants.
…
FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 1
[FCC 90-195]
Practice and Procedure: Broadcast Licensing Proceedings, Misconduct; Policy
Statement
Wednesday, June 6, 1990
AGENCY: Federal Communications Commission.
ACTION: Policy statement and final rule.
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SUMMARY: The Commission’s policies concerning the range of relevant non-FCC
related misconduct in broadcast licensing proceedings are modified to reflect the fact that
the Commission will consider any felony convictions as bearing on a broadcast applicant
or licensee’s character qualifications. The Commission will also consider adverse
adjudications of antitrust or anticompetitive misconduct relating to any media of mass
communications, as defined in 47 U.S.C. 309(i). The FCC also adopted new rules
prohibiting any applicant, permittee or licensee from making any written
misrepresentation or willful material ommission bearing on any matter within the
jurisdiction of the Commission (47 CFR 1.17) and requiring broadcast licensees and
permittees to report adverse determinations of relevant misconduct that are finally
adjudicated during the term of their permit or license (47 CFR 1.65(c)).
EFFECTIVE DATE: The Policy Statement is effective June 6, 1990; 47 CFR 1.17 will be
effective 30 days after publication in the Federal Register; 47 CFR 1.65(c) will be
effective 90 days after publication in the Federal Register.
ADDRESSES: Federal Communications Commission, 1919 M Street NW., Washington,
DC 20554.
FOR FURTHER INFORMATION CONTACT:Martin Blumenthal, Office of General
Counsel, Federal Communications Commission, (202) 254-6530.
…
Summary of Policy Statement and Order
1. The Commission is modifying its policies regarding character qualifications previously
enunciated in Policy Regarding Character Qualifications in Broadcast Licensing, 102
FCC 2d 1179 (1986), recon. granted in part, denied in part, 1 FCC Rcd 421 (1986),
appeal dismissed sub nom. National Association for Better Broadcasting v. FCC, No. 861179 (DC Cir. June 11, 1987) (hereinafter referred to as Character Policy Statement). We
are also amending our rules to make the provisions of 47 CFR 73.1015 regarding
misrepresentation applicable to all applications and/or statements filed with the
Commission, and we are adding a new § 1.65(c) requiring broadcast licensees to report
adjudications relevant to character qualifications that are issued during the license term.
2. The Character Policy Statement generally indicated that, in connection with non-FCC
related misconduct, the Commission would consider only adjudicated (a) Fraudulent
representations to governmental units, (b) criminal misconduct involving false statements
or dishonesty, and (c) broadcast-related violations of antitrust or other laws dealing with
competition. 102 FCC 2d at 1195- 1197, 1200-1203. However, upon further reflection,
we believe a propensity to comply with the law generally is relevant to the Commission’s
public interest analysis, and that an applicant’s or licensee’s willingness to violate other
laws, and, in particular, to commit felonies, also bears on our confidence that an applicant

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or licensee will conform to FCC rules and policies.
3. Thus, evidence of any conviction for misconduct constituting a felony will be relevant
to our evaluation of an applicant’s or licensee’s character. Because all felonies are serious
crimes, any felony conviction provides an indication of an applicant’s or licensee’s
propensity to obey the law. [FN1] While conviction for a felony raises questions of
whether an applicant or licensee has the requisite propensity to obey the law, we continue
to believe that there are mitigating factors that must be taken into consideration in our
deliberations. See Character Policy Statement, 102 FCC 2d at 1227-29; see also RKO
General, Inc., 5 FCC Rcd 642, 644 (1990).
FN1 Moreover, we retain the discretion to consider serious misdemeanor convictions in
appropriate or compelling cases, particularly where there is a pattern of such convictions.
4. Moreover, because of the interrelationship of the mass media, we see no reason to limit
our focus to broadcast related violations of laws relating to antitrust or anticompetitive
misconduct. We therefore believe that adjudicated violations of antitrust or
anticompetitive laws involving any media of mass communications, as defined in 47
U.S.C. 309(i), also are relevant to our licensing decisions.
5. We continue to believe that it is appropriate to refrain from making licensing decisions
based on mere allegations of relevant non-FCC misconduct, even where those allegations
have resulted in an indictment or are otherwise in process of being adjudicated by another
agency or court. Character Policy Statement, 102 FCC 2d at 1204-05. [FN2] However,
where such matters remain pending in another forum we may, in appropriate cases,
condition any grant of the application before us on the outcome of that proceeding. See
Id. at 1206 n.66.
FN2 However, we also continue to believe that, where an applicant has allegedly engaged
in nonbroadcast misconduct, “so egregious as to shock the conscience and evoke almost
universal disapprobation,” such conduct “might be a matter of Commission concern even
prior to adjudication by another body.” Character Policy Statement, 102 FCC 2d at 1205,
n.60.
6. Generally, we do not intend to change our policies regarding the case-by-case
determination of whether an existing licensee, designated for hearing on character issues
with respect to one license, may buy or sell other licenses or have other authorizations
renewed. See Character Policy Statement, 102 FCC 2d at 1223-25; Transferability of
Broadcast Licenses, 53 RR 2d 126 (1983). We wish to make clear, however, that, in
appropriate cases, the Commission may condition the grant of any application involving a
licensee that has been designated for hearing on character issues. If the decision in the
hearing is adverse to the licensee, we will revisit any such conditioned grants to
determine whether we would have made the grant if the adverse hearing determination
had been before us.
…

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48 C.F.R. 9.406-2 – Causes for debarment.
The debarring official may debar-(a) A contractor for a conviction of or civil judgment for—
(1) Commission of fraud or a criminal offense in connection with (i) obtaining, (ii)
attempting to obtain, or (iii) performing a public contract or subcontract;
(2) Violation of Federal or State antitrust statutes relating to the submission of offers;
(3) Commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, tax evasion, violating Federal criminal tax laws, or
receiving stolen property;
(4) Intentionally affixing a label bearing a “Made in America” inscription (or any
inscription having the same meaning) to a product sold in or shipped to the United
States or its outlying areas, when the product was not made in the United States or its
outlying areas (see Section 202 of the Defense Production Act (Public Law 102-558));
or
(5) Commission of any other offense indicating a lack of business integrity or business
honesty that seriously and directly affects the present responsibility of a Government
contractor or subcontractor.
(i) Violation of the terms of a Government contract or subcontract so serious as to
justify debarment, such as—
(A) Willful failure to perform in accordance with the terms of one or more
contracts; or
(B) A history of failure to perform, or of unsatisfactory performance of, one or
more contracts.
(ii) Violations of the Drug-Free Workplace Act of 1988 (Public Law 100-690), as
indicated by—
(A) Failure to comply with the requirements of the clause at 52.223-6, Drug-Free
Workplace; or
(B) Such a number of contractor employees convicted of violations of criminal drug
statutes occurring in the workplace as to indicate that the contractor has failed to
make a good faith effort to provide a drug-free workplace (see 23.504).
(iii) Intentionally affixing a label bearing a “Made in America” inscription (or any
inscription having the same meaning) to a product sold in or shipped to the United
States or its outlying areas, when the product was not made in the United States or its
outlying areas (see Section 202 of the Defense Production Act (Public Law 102558)).
(iv) Commission of an unfair trade practice as defined in 9.403 (see Section 201 of
the Defense Production Act (Public Law 102-558)).
…

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(A) Violation of Federal criminal law involving fraud, conflict of interest, bribery,
or gratuity violations found in Title 18 of the United States Code;
(B) Violation of the civil False Claims Act (31 U.S.C. 3729-3733); or
…
48 C.F.R. 9.407-2 – Causes for suspension.
(a) The suspending official may suspend a contractor suspected, upon adequate evidence,
of—
(1) Commission of fraud or a criminal offense in connection with (i) obtaining, (ii)
attempting to obtain, or (iii) performing a public contract or subcontract;
(2) Violation of Federal or State antitrust statutes relating to the submission of offers;
(3) Commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, tax evasion, violating Federal criminal tax laws, or
receiving stolen property; or
(4) Violations of the Drug-Free Workplace Act of 1988 (Public Law 100-690), as
indicated by—
(i) Failure to comply with the requirements of the clause at 52.223-6, Drug-Free
Workplace; or
(ii) Such a number of contractor employees convicted of violations of criminal drug
statutes occurring in the workplace as to indicate that the contractor has failed to
make a good faith effort to provide a drug-free workplace (see 23.504);
(5) Intentionally affixing a label bearing a “Made in America” inscription (or any
inscription having the same meaning) to a product sold in or shipped to the United
States or its outlying areas, when the product was not made in the United States or its
outlying areas (see Section 202 of the Defense Production Act (Public Law 102-558));
(6) Commission of an unfair trade practice as defined in 9.403 (see section 201 of the
Defense Production Act (Pub.L. 102-558));
(7) Delinquent Federal taxes in an amount that exceeds $3,000. See the criteria at
9.406-2(b)(1)(v) for determination of when taxes are delinquent; or
(8) Knowing failure by a principal, until 3 years after final payment on any Government
contract awarded to the contractor, to timely disclose to the Government, in connection
with the award, performance, or closeout of the contract or a subcontract thereunder,
credible evidence of—
(i) Violation of Federal criminal law involving fraud, conflict of interest, bribery, or
gratuity violations found in Title 18 of the United States Code;
(ii) Violation of the civil False Claims Act (31 U.S.C. 3729-3733); or
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(iii) Significant overpayment(s) on the contract, other than overpayments resulting
from contract financing payments as defined in 32.001; or
(9) Commission of any other offense indicating a lack of business integrity or business
honesty that seriously and directly affects the present responsibility of a Government
contractor or subcontractor.
(b) Indictment for any of the causes in paragraph (a) above constitutes adequate evidence
for suspension.
(c) The suspending official may upon adequate evidence also suspend a contractor for
any other cause of so serious or compelling a nature that it affects the present
responsibility of a Government contractor or subcontractor.
48 C.F.R. 252.203-7001 – Prohibition on persons convicted of fraud or other
defense-contract-related felonies.
As prescribed in 203.570-3, use the following clause:
Prohibition on Persons Convicted of Fraud or Other Defense-Contract-Related Felonies
(DEC 2004)
(a) Definitions.
As used in this clause-(1) Arising out of a contract with the DoD means any act in connection with—
(i) Attempting to obtain;
(ii) Obtaining; or
(iii) Performing a contract or first-tier subcontract of any agency, department, or
component of the Department of Defense (DoD).
(2) Conviction of fraud or any other felony means any conviction for fraud or a felony
in violation of state or Federal criminal statutes, whether entered on a verdict or plea,
including a plea of nolo contendere, for which sentence has been imposed.
(3) Date of conviction means the date judgment was entered against the individual.
(b) Any individual who is convicted after September 29, 1988, of fraud or any other
felony arising out of a contract with the DoD is prohibited from serving—
(1) In a management or supervisory capacity on this contract;
(2) On the board of directors of the Contractor;
(3) As a consultant, agent, or representative for the Contractor; or

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(4) In any other capacity with the authority to influence, advise, or control the decisions
of the Contractor with regard to this contract.
(c) Unless waived, the prohibition in paragraph (b) of this clause applies for not less than
5 years from the date of conviction.
(d) 10 U.S.C. 2408 provides that the Contractor shall be subject to a criminal penalty of
not more than $500,000 if convicted of knowingly—
(1) Employing a person under a prohibition specified in paragraph (b) of this clause; or
(2) Allowing such a person to serve on the board of directors of the contractor or firsttier subcontractor.
(e) In addition to the criminal penalties contained in 10 U.S.C. 2408, the Government
may consider other available remedies, such as—
(1) Suspension or debarment;
(2) Cancellation of the contract at no cost to the Government; or
(3) Termination of the contract for default.
(f) The Contractor may submit written requests for waiver of the prohibition in paragraph
(b) of this clause to the Contracting Officer. Requests shall clearly identify—
(1) The person involved;
(2) The nature of the conviction and resultant sentence or punishment imposed;
(3) The reasons for the requested waiver; and
(4) An explanation of why a waiver is in the interest of national security.
…
49 C.F.R. 240.115 – Criteria for consideration of prior safety conduct as a motor
vehicle operator.
(a) Each railroad’s program shall include criteria and procedures for implementing this
section.
(b) When evaluating a person’s motor vehicle driving record, a railroad shall not consider
information concerning motor vehicle driving incidents that occurred more than 36
months before the month in which the railroad is making its certification decision and

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shall only consider information concerning the following types of motor vehicle
incidents:
(1) A conviction for, or completed state action to cancel, revoke, suspend, or deny a
motor vehicle drivers license for, operating a motor vehicle while under the influence
of or impaired by alcohol or a controlled substance;
(2) A conviction for, or completed state action to cancel, revoke, suspend, or deny a
motor vehicle driver’s license for, refusal to undergo such testing as is required by State
law when a law enforcement official seeks to determine whether a person is operating a
vehicle while under the influence of alcohol or a controlled substance.
(c) If such an incident is identified,
(1) The railroad shall provide the data to the railroad’s EAP Counselor, together with
any information concerning the person’s railroad service record, and shall refer the
person for evaluation to determine if the person has an active substance abuse disorder;
(2) The person shall cooperate in the evaluation and shall provide any requested records
of prior counseling or treatment for review exclusively by the EAP Counselor in the
context of such evaluation; and
(3) If the person is evaluated as not currently affected by an active substance abuse
disorder, the subject data shall not be considered further with respect to certification.
However, the railroad shall, on recommendation of the EAP Counselor, condition
certification upon participation in any needed aftercare and/or follow-up testing for
alcohol or drugs deemed necessary by the EAP Counselor consistent with the technical
standards specified in § 240.119(d)(3) of this part.
(4) If the person is evaluated as currently affected by an active substance abuse
disorder, the person shall not be currently certified and the provisions of § 240.119(b)
will apply.
49 C.F.R. 240.119 – Criteria for consideration of data on substance abuse disorders
and alcohol drug rules compliance.
(a) Each railroad’s program shall include criteria and procedures for implementing this
section.
(b) Fitness requirement.
(1) A person who has an active substance abuse disorder shall not be currently certified
as a locomotive engineer.
(2) Except as provided in paragraph (e) of this section, a certified engineer who is
determined to have an active substance abuse disorder shall be suspended from
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certification. Consistent with other provisions of this part, certification may be
reinstated as provided in paragraph (d) of this section.
(3) In the case of a current employee of the railroad evaluated as having an active
substance abuse disorder (including a person identified under the procedures of §
240.115), the employee may, if otherwise eligible, voluntarily self-refer for substance
abuse counseling or treatment under the policy required by § 219.403 of this chapter;
and the railroad shall then treat the substance abuse evaluation as confidential except
with respect to current ineligibility for certification.
…
(d) Future eligibility to hold certificate following alcohol/drug violation. The following
requirements apply to a person who has been denied certification or who has had
certification suspended or revoked as a result of conduct described in paragraph (c) of
this section:
(1) The person shall not be eligible for grant or reinstatement of the certificate unless
and until the person has—
(i) Been evaluated by an EAP Counselor to determine if the person currently has an
active substance abuse disorder;
(ii) Successfully completed any program of counseling or treatment determined to be
necessary by the EAP Counselor prior to return to service; and
(iii) Presented a urine sample for testing under Subpart H of this part that tested
negative for controlled substances assayed and has tested negative for alcohol under
paragraph (d)(4) of this section.
(2) An engineer placed in service or returned to service under the above-stated
conditions shall continue in any program of counseling or treatment deemed necessary
by the EAP Counselor and shall be subject to a reasonable program of follow-up
alcohol and drug testing without prior notice for a period of not more than 60 months
following return to service. Follow-up tests shall include not fewer than 6 alcohol tests
and 6 drug tests during the first 12 months following return to service.
(3) Return-to-service and follow-up alcohol and drug tests shall be performed
consistent with the requirements of subpart H of part 219 of this chapter.
(4) This paragraph does not create an entitlement to utilize the services of a railroad
EAP Counselor, to be afforded leave from employment for counseling or treatment, or
to employment as a locomotive engineer. Nor does it restrict any discretion available to
the railroad to take disciplinary action based on conduct described herein.
…

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49 C.F.R. 1515.7 – Procedures for waiver of criminal offenses, immigration status,
or mental capacity standards.
(a) Scope. This section applies to the following applicants:
(i) An applicant for an HME or TWIC who has a disqualifying criminal offense
described in 49 CFR 1572.103(a)(5) through (a)(12) or 1572.103(b) and who requests
a waiver.
(ii) An applicant for an HME or TWIC who is an alien under temporary protected
status as described in 49 CFR 1572.105 and who requests a waiver.
(iii) An applicant applying for an HME or TWIC who lacks mental capacity as
described in 49 CFR 1572.109 and who requests a waiver.
(b) Grounds for waiver. TSA may issue a waiver of the standards described in paragraph
(a) and grant an HME or TWIC if TSA determines that an applicant does not pose a
security threat based on a review of information described in paragraph (c) of this
section.
(c) Initiating waiver.
(1) An applicant initiates a waiver as follows:
(i) Providing to TSA the information required in 49 CFR 1572.9 for an HME or 49
CFR 1572.17 for a TWIC.
(ii) Paying the fees required in 49 CFR 1572.405 for an HME or in 49 CFR 1572.501
for a TWIC.
(iii) Sending a written request to TSA for a waiver at any time, but not later than 60
days after the date of service of the Final Determination of Threat Assessment. The
applicant may request a waiver during the application process, or may first pursue
some or all of the appeal procedures in 49 CFR 1515.5 to assert that he or she does
not have a disqualifying condition.
(2) In determining whether to grant a waiver, TSA will consider the following factors,
as applicable to the disqualifying condition:
(i) The circumstances of the disqualifying act or offense.
(ii) Restitution made by the applicant.
(iii) Any Federal or State mitigation remedies.
(iv) Court records or official medical release documents indicating that the applicant
no longer lacks mental capacity.
(v) Other factors that indicate the applicant does not pose a security threat warranting
denial of the HME or TWIC.
(d) Grant or denial of waivers.
(1) The Assistant Administrator will send a written decision granting or denying the
waiver to the applicant within 60 days of service of the applicant’s request for a waiver,
or longer period as TSA may determine for good cause.
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(2) In the case of an HME, if the Assistant Administrator grants the waiver, the
Assistant Administrator will send a Determination of No Security Threat to the
licensing State within 60 days of service of the applicant’s request for a waiver, or
longer period as TSA may determine for good cause.
(3) In the case of a mariner applying for a TWIC, if the Assistant Administrator grants
the waiver, the Assistant Administrator will send a Determination of No Security
Threat to the Coast Guard within 60 days of service of the applicant’s request for a
waiver, or longer period as TSA may determine for good cause.
(4) If the Assistant Administrator denies the waiver the applicant may seek review in
accordance with 49 CFR 1515.11. A denial of a waiver under this section does not
constitute a final order of TSA as provided in 49 U.S.C. 46110.
(e) Extension of time. TSA may grant an applicant an extension of the time limits for
good cause shown. An applicant’s request for an extension of time must be in writing and
be received by TSA within a reasonable time before the due date to be extended; or an
applicant may request an extension after the expiration of a due date by sending a written
request describing why the failure to file within the time limits was excusable. TSA may
grant itself an extension of time for good cause.
49 C.F.R. 1542.209 – Fingerprint-based criminal history records checks (CHRC).
(a) Scope. The following persons are within the scope of this section—
(1) Each airport operator and airport user.
(2) Each individual currently having unescorted access to a SIDA, and each individual
with authority to authorize others to have unescorted access to a SIDA (referred to as
unescorted access authority).
(3) Each individual seeking unescorted access authority.
(4) Each airport user and aircraft operator making a certification to an airport operator
pursuant to paragraph (n) of this section, or 14 CFR 108.31(n) in effect prior to
November 14, 2001 (see 14 CFR Parts 60 to 139 revised as of January 1, 2001). An
airport user, for the purposes of this section only, is any person other than an aircraft
operator subject to § 1544.229 of this chapter making a certification under this section.
(b) Individuals seeking unescorted access authority. Except as provided in paragraph (m)
of this section, each airport operator must ensure that no individual is granted unescorted
access authority unless the individual has undergone a fingerprint-based CHRC that does
not disclose that he or she has a disqualifying criminal offense, as described in paragraph
(d) of this section.
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(c) Individuals who have not had a CHRC.
(1) Except as provided in paragraph (m) of this section, each airport operator must
ensure that after December 6, 2002, no individual retains unescorted access authority,
unless the airport operator has obtained and submitted a fingerprint under this part.
(2) When a CHRC discloses a disqualifying criminal offense for which the conviction
or finding of not guilty by reason of insanity was on or after December 6, 1991, the
airport operator must immediately suspend that individual’s authority.
(d) Disqualifying criminal offenses. An individual has a disqualifying criminal offense if
the individual has been convicted, or found not guilty of by reason of insanity, of any of
the disqualifying crimes listed in this paragraph (d) in any jurisdiction during the 10 years
before the date of the individual’s application for unescorted access authority, or while
the individual has unescorted access authority. The disqualifying criminal offenses are as
follows—
(1) Forgery of certificates, false marking of aircraft, and other aircraft registration
violation; 49 U.S.C. 46306.
(2) Interference with air navigation; 49 U.S.C. 46308.
(3) Improper transportation of a hazardous material; 49 U.S.C. 46312.
(4) Aircraft piracy; 49 U.S.C. 46502.
(5) Interference with flight crew members or flight attendants; 49 U.S.C. 46504.
(6) Commission of certain crimes aboard aircraft in flight; 49 U.S.C. 46506.
(7) Carrying a weapon or explosive aboard aircraft; 49 U.S.C. 46505.
(8) Conveying false information and threats; 49 U.S.C. 46507.
(9) Aircraft piracy outside the special aircraft jurisdiction of the United States; 49
U.S.C. 46502(b).
(10) Lighting violations involving transporting controlled substances; 49 U.S.C. 46315.
(11) Unlawful entry into an aircraft or airport area that serves air carriers or foreign air
carriers contrary to established security requirements; 49 U.S.C. 46314.
(12) Destruction of an aircraft or aircraft facility; 18 U.S.C. 32.
(13) Murder.
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(14) Assault with intent to murder.
(15) Espionage.
(16) Sedition.
(17) Kidnapping or hostage taking.
(18) Treason.
(19) Rape or aggravated sexual abuse.
(20) Unlawful possession, use, sale, distribution, or manufacture of an explosive or
weapon.
(21) Extortion.
(22) Armed or felony unarmed robbery.
(23) Distribution of, or intent to distribute, a controlled substance.
(24) Felony arson.
(25) Felony involving a threat.
(26) Felony involving—
(i) Willful destruction of property;
(ii) Importation or manufacture of a controlled substance;
(iii) Burglary;
(iv) Theft;
(v) Dishonesty, fraud, or misrepresentation;
(vi) Possession or distribution of stolen property;
(vii) Aggravated assault;
(viii) Bribery; or
(ix) Illegal possession of a controlled substance punishable by a maximum term of
imprisonment of more than 1 year.
(27) Violence at international airports; 18 U.S.C. 37.
(28) Conspiracy or attempt to commit any of the criminal acts listed in this paragraph
(d).
(e) Fingerprint application and processing.
(1) At the time of fingerprinting, the airport operator must provide the individual to be
fingerprinted a fingerprint application that includes only the following—
(i) The disqualifying criminal offenses described in paragraph (d) of this section.
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(ii) A statement that the individual signing the application does not have a
disqualifying criminal offense.
(iii) A statement informing the individual that Federal regulations under 49 CFR
1542.209 (l) impose a continuing obligation to disclose to the airport operator within
24 hours if he or she is convicted of any disqualifying criminal offense that occurs
while he or she has unescorted access authority. After February 17, 2002, the airport
operator may use statements that have already been printed referring to 14 CFR
107.209 until stocks of such statements are used up.
(iv) A statement reading, “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 on this application can
be punished by fine or imprisonment or both. (See section 1001 of Title 18 United
States Code.)”
(v) A line for the printed name of the individual.
(vi) A line for the individual’s signature and date of signature.
(2) Each individual must complete and sign the application prior to submitting his or
her fingerprints.
(3) The airport operator must verify the identity of the individual through two forms of
identification prior to fingerprinting, and ensure that the printed name on the fingerprint
application is legible. At least one of the two forms of identification must have been
issued by a government authority, and at least one must include a photo.
(4) The airport operator must advise the individual that:
(i) A copy of the criminal record received from the FBI will be provided to the
individual, if requested by the individual in writing; and
(ii) The ASC is the individual’s point of contact if he or she has questions about the
results of the CHRC.
(5) The airport operator must collect, control, and process one set of legible and
classifiable fingerprints under direct observation of the airport operator or a law
enforcement officer.
(6) Fingerprints may be obtained and processed electronically, or recorded on
fingerprint cards approved by the FBI and distributed by TSA for that purpose.
(7) The fingerprint submission must be forwarded to TSA in the manner specified by
TSA.
…
(g) Determination of arrest status.
(1) When a CHRC on an individual seeking unescorted access authority discloses an
arrest for any disqualifying criminal offense listed in paragraph (d) of this section
without indicating a disposition, the airport operator must determine, after
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investigation, that the arrest did not result in a disqualifying offense before granting that
authority. If there is no disposition, or if the disposition did not result in a conviction or
in a finding of not guilty by reason of insanity of one of the offenses listed in paragraph
(d) of this section, the individual is not disqualified under this section.
(2) When a CHRC on an individual with unescorted access authority discloses an arrest
for any disqualifying criminal offense without indicating a disposition, the airport
operator must suspend the individual’s unescorted access authority not later than 45
days after obtaining the CHRC unless the airport operator determines, after
investigation, that the arrest did not result in a disqualifying criminal offense. If there is
no disposition, or if the disposition did not result in a conviction or in a finding of not
guilty by reason of insanity of one of the offenses listed in paragraph (d) of this section,
the individual is not disqualified under this section.
(3) The airport operator may only make the determinations required in paragraphs
(g)(1) and (g)(2) of this section for individuals for whom it is issuing, or has issued,
unescorted access authority, and who are not covered by a certification from an aircraft
operator under paragraph (n) of this section. The airport operator may not make
determinations for individuals described in § 1544.229 of this chapter.
(h) Correction of FBI records and notification of disqualification.
(1) Before making a final decision to deny unescorted access authority to an individual
described in paragraph (b) of this section, the airport operator must advise him or her
that the FBI criminal record discloses information that would disqualify him or her
from receiving or retaining unescorted access authority and provide the individual with
a copy of the FBI record if he or she requests it.
(2) The airport operator must notify an individual that a final decision has been made to
grant or deny unescorted access authority.
(3) Immediately following the suspension of unescorted access authority of an
individual, the airport operator must advise him or her that the FBI criminal record
discloses information that disqualifies him or her from retaining unescorted access
authority and provide the individual with a copy of the FBI record if he or she requests
it.
(i) Corrective action by the individual. The individual may contact the local jurisdiction
responsible for the information and the FBI to complete or correct the information
contained in his or her record, subject to the following conditions—
(1) For an individual seeking unescorted access authority on or after December 6, 2001,
the following applies:
(i) Within 30 days after being advised that the criminal record received from the FBI
discloses a disqualifying criminal offense, the individual must notify the airport
operator in writing of his or her intent to correct any information he or she believes to
be inaccurate. The airport operator must obtain a copy, or accept a copy from the
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individual, of the revised FBI record, or a certified true copy of the information from
the appropriate court, prior to granting unescorted access authority.
(ii) If no notification, as described in paragraph (h)(1) of this section, is received
within 30 days, the airport operator may make a final determination to deny
unescorted access authority.
(2) For an individual with unescorted access authority before December 6, 2001, the
following applies: Within 30 days after being advised of suspension because the
criminal record received from the FBI discloses a disqualifying criminal offense, the
individual must notify the airport operator in writing of his or her intent to correct any
information he or she believes to be inaccurate. The airport operator must obtain a
copy, or accept a copy from the individual, of the revised FBI record, or a certified true
copy of the information from the appropriate court, prior to reinstating unescorted
access authority.
(l) Continuing responsibilities.
(1) Each individual with unescorted access authority on December 6, 2001, who had a
disqualifying criminal offense in paragraph (d) of this section on or after December 6,
1991, must, by January 7, 2002, report the conviction to the airport operator and
surrender the SIDA access medium to the issuer.
(2) Each individual with unescorted access authority who has a disqualifying criminal
offense must report the offense to the airport operator and surrender the SIDA access
medium to the issuer within 24 hours of the conviction or the finding of not guilty by
reason of insanity.
(3) If information becomes available to the airport operator or the airport user
indicating that an individual with unescorted access authority has a disqualifying
criminal offense, the airport operator must determine the status of the conviction. If a
disqualifying offense is confirmed the airport operator must immediately revoke any
unescorted access authority.
(m) Exceptions. Notwithstanding the requirements of this section, an airport operator
must authorize the following individuals to have unescorted access authority:
(1) An employee of the Federal, state, or local government (including a law
enforcement officer) who, as a condition of employment, has been subjected to an
employment investigation that includes a criminal records check.
(2) Notwithstanding the requirements of this section, an airport operator may authorize
the following individuals to have unescorted access authority:
(i) An individual who has been continuously employed in a position requiring
unescorted access authority by another airport operator, airport user, or aircraft
operator, or contractor to such an entity, provided the grant for his or her unescorted
access authority was based upon a fingerprint-based CHRC through TSA or FAA.
(ii) An individual who has been continuously employed by an aircraft operator or
aircraft operator contractor, in a position with authority to perform screening
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functions, provided the grant for his or her authority to perform screening functions
was based upon a fingerprint-based CHRC through TSA or FAA.
(n) Certifications by aircraft operators. An airport operator is in compliance with its
obligation under paragraph (b) or (c) of this section when the airport operator accepts, for
each individual seeking unescorted access authority, certification from an aircraft
operator subject to part 1544 of this chapter indicating it has complied with § 1544.229 of
this chapter for the aircraft operator’s employees and contractors seeking unescorted
access authority. If the airport operator accepts a certification from the aircraft operator,
the airport operator may not require the aircraft operator to provide a copy of the CHRC.
…
49 C.F.R. 1570.3 – Terms used in this subchapter.
For purposes of this subchapter:
...
Convicted means any plea of guilty or nolo contendere, or any finding of guilt, except
when the finding of guilt is subsequently overturned on appeal, pardoned, or expunged.
For purposes of this subchapter, a conviction is expunged when the conviction is
removed from the individual's criminal history record and there are no legal disabilities or
restrictions associated with the expunged conviction, other than the fact that the
conviction may be used for sentencing purposes for subsequent convictions. In addition,
where an individual is allowed to withdraw an original plea of guilty or nolo contendere
and enter a plea of not guilty and the case is subsequently dismissed, the individual is no
longer considered to have a conviction for purposes of this subchapter.
49 C.F.R. 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.

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(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., 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
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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., 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 applying for TWIC, TSA will notify the Coast Guard that the applicant is
disqualified.
49 C.F.R. 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—
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The Public Defender Service for the District of Columbia

(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. 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 Threat Assessment Program, Transportation Security Administration,
601 South 12th Street, Arlington, VA 22202-4220.
(3) TSA will notify the public when a comparability determination is made.
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(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.

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American Bar Association Commission on Effective Criminal Sanctions
The Public Defender Service for the District of Columbia