[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 1996 Edition]
[From the U.S. Government Publishing Office]
49
Transportation
[[Page i]]
PARTS 1 TO 99
Revised as of October 1, 1996
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF OCTOBER 1, 1996
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1996
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 49:
Subtitle A--Office of the Secretary of Transportation..... 3
Finding Aids:
Material Approved for Incorporation by Reference.......... 653
Table of CFR Titles and Chapters.......................... 655
Alphabetical List of Agencies Appearing in the CFR........ 671
List of CFR Sections Affected............................. 681
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Cite this Code: CFR
To cite the regulations in this volume use title, part
and section number. Thus, 49 CFR 1.1 refers to title
49, part 1, section 1.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
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HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
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To determine whether a Code volume has been amended since its
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EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
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citations for the regulations are referred to by volume number and page
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OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
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of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For
the period beginning January 1, 1986, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
requirement to publish regulations in the Federal Register by referring
to materials already published elsewhere. For an incorporation to be
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This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
reference, please contact the agency that issued the regulation
containing that incorporation. If, after contacting the agency, you find
the material is not available, please notify the Director of the Federal
Register, National Archives and Records Administration, Washington DC
20408, or call (202) 523-4534.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I), and Acts Requiring Publication
in the Federal Register (Table II). A list of CFR titles, chapters, and
parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ``Title 3--The President'' is carried within
that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
[[Page vii]]
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this
volume, contact the issuing agency. The issuing agency's name appears at
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For inquiries concerning CFR reference assistance, call 202-523-5227
or write to the Director, Office of the Federal Register, National
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Richard L. Claypoole,
Director,
Office of the Federal Register.
October 1, 1996.
[[Page ix]]
THIS TITLE
Title 49--Transportation is composed of seven volumes. The parts in
these volumes are arranged in the following order: Parts 1-99, parts
100-185, parts 186-199, parts 200-399, parts 400-999, parts 1000-1199,
part 1200 to End. The first volume (parts 1-99) contains current
regulations issued under subtitle A--Office of the Secretary of
Transportation; the second volume (parts 100-185) and the third volume
(parts 186-199) contain the current regulations issued under chapter I--
Research and Special Programs Administration (DOT); the fourth volume
(parts 200-399) contains the current regulations issued under chapter
II--Federal Railroad Administration (DOT), and chapter III--Federal
Highway Administration (DOT); the fifth volume (parts 400-999) contains
the current regulations issued under chapter IV--Coast Guard (DOT),
chapter V--National Highway Traffic Safety Administration (DOT), chapter
VI--Federal Transit Administration (DOT), chapter VII--National Railroad
Passenger Corporation (AMTRAK), and chapter VIII--National
Transportation Safety Board; the sixth volume (parts 1000-1199) and the
seventh volume (part 1200 to End) both contain current regulations
issued under chapter X--Surface Transportation Board, Department of
Transportation. The contents of these volumes represent all current
regulations codified under this title of the CFR as of October 1, 1996.
In the volume containing parts 100-185, see Sec. 172.101 for the
Hazardous Materials Table, and Sec. 172.102 for the Optional Hazardous
Materials Table. An Identification Number Cross Reference Index to
Proper Shipping Names in Secs. 172.101 and 172.102 appears at the
beginning of part 172. The Federal Motor Vehicle Safety Standards appear
in part 571.
Redesignation tables for chapter X--Surface Transportation Board,
Department of Transportation appear in the Finding Aids section of the
sixth and seventh volumes.
For this volume Ann Elise Maso was the Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
[[Page x]]
[[Page 1]]
TITLE 49--TRANSPORTATION
(This book contains parts 1 to 99)
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Part
SUBTITLE A--Office of the Secretary of Transportation....... 1
Editorial Note: Other regulations issued by the Department of
Transportation appear in 14 CFR chapters I and II, 23 CFR, 33 CFR
chapters I and IV, 44 CFR chapter IV, 46 CFR chapters I and II, 48 CFR
chapter 12, and 49 CFR chapters I through VI.
[[Page 3]]
Subtitle A--Office of the Secretary of Transportation
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Part Page
1 Organization and delegation of powers and
duties.................................. 5
3 Official seal............................... 50
5 Rulemaking procedures....................... 51
6 Implementation of Equal Access to Justice
Act in agency proceedings............... 53
7 Public availability of information.......... 59
8 Classification and declassification of
national security information and
material................................ 88
9 Testimony of employees of the Department and
production of records in legal
proceedings............................. 96
10 Maintenance of and access to records
pertaining to individuals............... 100
11 Protection of human subjects................ 128
17 Intergovernmental review of Department of
Transportation programs and activities.. 139
18 Uniform administrative requirements for
grants and cooperative agreements to
State and local governments............. 142
19 Uniform administrative requirements for
grants and agreements with institutions
of higher education, hospitals, and
other non-profit organizations.......... 171
20 New restrictions on lobbying................ 199
21 Nondiscrimination in federally-assisted
programs of the Department of
Transportation--effectuation of title VI
of the Civil Rights Act of 1964......... 211
23 Participation by minority business
enterprise in Department of
Transportation programs................. 222
24 Uniform relocation assistance and real
property acquisition for Federal and
federally assisted programs............. 263
25 [Reserved]
27 Nondiscrimination on the basis of handicap
in programs and activities receiving or
benefitting from Federal financial
assistance.............................. 300
[[Page 4]]
28 Enforcement of nondiscrimination on the
basis of handicap in programs or
activities conducted by the Department
of Transportation....................... 312
29 Governmentwide debarment and suspension
(nonprocurement) and governmentwide
requirements for drug-free workplace
(grants)................................ 319
30 Denial of public works contracts to
suppliers of goods and services of
countries that deny procurement market
access to U.S. contractors.............. 338
31 Program fraud civil remedies................ 343
37 Transportation services for individuals with
disabilities (ADA)...................... 359
38 Americans with Disabilities Act (ADA)
accessibility specifications for
transportation vehicles................. 529
40 Procedures for transportation workplace drug
testing programs........................ 562
41 Seismic safety.............................. 610
71 Standard time zone boundaries............... 612
79 Medals of honor............................. 617
89 Implementation of the Federal Claims
Collection Act.......................... 618
91 International air transportation fair
competitive practices................... 624
92 Recovering debts to the United States by
salary offset........................... 627
93 Aircraft allocation......................... 637
95 Advisory committees......................... 637
98 Enforcement of restrictions on post-
employment activities................... 640
99 Employee responsibilities and conduct....... 642
Appendix to Subtitle A--United States Railway Association--
employee responsibilities and conduct..................... 645
[[Page 5]]
PART 1--ORGANIZATION AND DELEGATION OF POWERS AND DUTIES--Table of Contents
Subpart A--General
Sec.
1.1 Purpose.
1.2 Definitions.
1.3 Organization of the Department.
1.4 General responsibilities.
Subpart B--Office of the Secretary
1.21 Purpose.
1.22 Structure.
1.23 Spheres of primary responsibility.
1.24 Authority.
1.25 Relationships.
1.26 Secretarial succession.
Subpart C--Delegations
1.41 Purpose.
1.42 Exercise of authority.
1.43 General limitations and reservations.
1.44 Reservation of authority.
1.45 Delegations to all Administrators.
1.46 Delegations to Commandant of the Coast Guard.
1.47 Delegations to Federal Aviation Administrator.
1.48 Delegations to Federal Highway Administrator.
1.49 Delegations to Federal Railroad Administrator.
1.50 Delegation to National Highway Traffic Safety Administrator.
1.51 Delegations to Urban Mass Transportation Administrator.
1.52 Delegations to Saint Lawrence Seaway Development Corporation
Administrator.
1.53 Delegations to the Administrator of the Research and Special
Programs Administration.
1.54 Delegations to all Secretarial Officers.
1.55 Delegations to Deputy Secretary.
1.56 Delegations to the Assistant Secretary for Transportation Policy.
1.56a Delegations to the Assistant Secretary for Aviation and
International Affairs.
1.56b Delegations to the Designated Senior Career Official, Office of
the Assistant Secretary for Aviation and International
Affairs.
1.57 Delegations to General Counsel.
1.57a Delegations to Deputy General Counsel.
1.57b Delegations to the Assistant General Counsel for Environmental,
Civil Rights, and General Law.
1.58 Delegations to Assistant Secretary for Budget and Programs.
1.59 Delegations to Assistant Secretary for Administration.
1.59a Redelegations by the Assistant Secretary for Administration.
1.60 Delegations to the Inspector General.
1.61 Delegations to Assistant Secretary for Governmental Affairs.
1.62 Delegations to the Director of Small and Disadvantaged Business
Utilization.
1.63 Delegations to Assistant to the Secretary and Director of Public
Affairs.
1.64 [Reserved]
1.65 Authority to classify information.
1.66 Delegations to Maritime Administrator.
1.67 Delegations to Maritime Subsidy Board.
1.68 [Reserved]
1.69 Delegations to the Director of Intelligence and Security.
1.70 Delegations to the Director of the Departmental Office of Civil
Rights.
1.71 Delegations to the Director of the Bureau of Transportation
Statistics.
Appendix A to Part 1--Delegations and Redelegations by Secretarial
Officers
Authority: 49 U.S.C. 322; Public Law 101-552, 28 U.S.C. 2672, 31
U.S.C. 3711(a)(2).
Source: Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, unless otherwise
noted.
Subpart A--General
Sec. 1.1 Purpose.
This part describes the organization of the Department of
Transportation and provides for the performance of duties imposed upon,
and the exercise of powers vested, in the Secretary of Transportation by
law.
Sec. 1.2 Definitions.
As used in this part, Administrator includes:
(a) The Coast Guard Commandant.
(b) The Federal Aviation Administrator.
(c) The Federal Highway Administrator.
(d) The Federal Railroad Administrator.
(e) The National Highway Traffic Safety Administrator.
(f) The Urban Mass Transportation Administrator.
(g) The Administrator of the St. Lawrence Seaway Development
Corporation.
(h) The Research and Special Programs Administrator.
(i) The Maritime Administrator.
[[Page 6]]
(j) The Director of the Bureau of Transportation Statistics.
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by Amdt. 1-157, 45
FR 83403, Dec. 18, 1980; Amdt. 1-164, 46 FR 47458, Sept. 28, 1981; Amdt.
1-270, 60 FR 30196, June 8, 1995]
Sec. 1.3 Organization of the Department.
(a) The Secretary of Transportation is the head of the Department.
(b) The Department is comprised of the Office of the Secretary and
the following operating elements, the heads of which report directly to
the Secretary:
(1) The U.S. Coast Guard, headed by the Commandant.
(2) The Federal Aviation Administration, headed by the
Administrator.
(3) The Federal Highway Administration, headed by the Administrator.
(4) The Federal Railroad Administration, headed by the
Administrator.
(5) The National Highway Traffic Safety Administration, headed by
the Administrator.
(6) The Urban Mass Transportation Administration, headed by the
Administrator.
(7) The St. Lawrence Seaway Development Corporation, headed by the
Administrator.
(8) The Research and Special Programs Administration, headed by the
Administrator.
(9) The Maritime Administration, headed by the Administrator and
including within it the Maritime Subsidy Board composed of the Maritime
Administrator, the Deputy Maritime Administrator, and the Chief Counsel
of the Maritime Administration.
(10) The Bureau of Transportation Statistics, headed by the
Director.
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by Amdt. 1-157, 45
FR 83403, Dec. 18, 1980; Amdt. 1-164, 46 FR 47458, Sept. 28, 1981; Amdt.
1-270, 60 FR 30196, June 8, 1995]
Sec. 1.4 General responsibilities.
(a) Office of the Secretary. Provides for:
(1) Leadership in formulating and executing well-balanced national
and international transportation objectives, policies, and programs;
(2) Stimulating and promoting research and development in all modes
and types of transportation, with special emphasis on transportation
safety;
(3) Coordinating the various transportation programs of the Federal
Government;
(4) Encouraging maximum private development of transportation
services;
(5) Responsive, timely, and effective liaison with Congress, and
public and private organizations on transportation matters;
(6) Innovative approaches to urban transportation and environmental
enhancement programs; and
(7) Effective management of the Department as a whole.
(b) U.S. Coast Guard. Is responsible for:
(1) Upon the high seas and waters subject to the jurisdiction of the
United States:
(i) Enforcing or assistance in enforcing applicable Federal laws;
(ii) Administering laws and promulgating and enforcing regulations
for promoting safety of life and property, covering all matters not
specifically delegated by law to some other executive department or
reserved to the States;
(iii) Developing, establishing, maintaining, and operating, with due
regard to the requirements of national defense, aids to navigation,
icebreaking facilities, and rescue facilities for promoting safety; and
(2) Maintaining a state of readiness to function as a specialized
service in the Navy, in time of war or when the President shall direct,
as provided in section 3 of title 14, United States Code.
(c) The Federal Aviation Administration. Is responsible for:
(1) Promulgating and enforcing regulations on all safety matters
relating to the manufacture, operation, and maintenance of aircraft;
(2) Registering aircraft and recording rights in aircraft;
(3) Developing, modifying, testing, and evaluating systems,
procedures, facilities, and devices needed for the safe and efficient
navigation and traffic control of aircraft;
[[Page 7]]
(4) Locating, constructing or installing, maintaining, and operating
Federal aids to air navigation, wherever necessary;
(5) Developing air traffic regulations, and administering air
traffic control of civil and military air operations within U.S.
airspace;
(6) Providing grants-in-aid for developing public airports;
(7) Promoting and encouraging civil aviation abroad through
technical aviation assistance to other governments; and
(8) Promulgating and enforcing regulations on all safety matters
relating to commercial launch activities.
(d) The Federal Highway Administration. Is responsible for:
(1) Planning, in cooperation with the States, the national highway
system;
(2) Providing for improving, in cooperation with the States, roads
on the Federal-aid primary, secondary, and interstate highway systems
and urban extensions thereof;
(3) Highway beautification and scenic enhancement of the Federal-aid
highway systems;
(4) Surveying and constructing forest highway system roads, defense
highways and access roads, and parkways and roads in national parks and
other federally administered areas;
(5) Inspecting records of motor carriers operating in interstate
commerce, inspecting motor carrier vehicles, and investigating accidents
and reporting violations of motor carrier safety regulations; and
(6) Developing and administering uniform State standards for highway
safety programs with respect to identification and surveillance of
accident locations; highway design, construction, and maintenance,
including highway related aspects of pedestrian safety; and traffic
control devices.
(e) The Federal Railroad Administration. Is responsible for:
(1) Operating and managing the Alaska Railroad;
(2) Conducting research and development activity in support of
improved rail transportation;
(3) Regulating safety functions pertaining to railroads, express
companies, and water carriers operating in connection with railroads
under a common control, management, or arrangement for continuous
carriage or shipment; and
(4) Investigating and issuing reports concerning collisions,
derailments, and other railroad accidents resulting in serious injury to
persons or to the property of a railroad.
(f) The National Highway Traffic Safety Administration. Is
responsible for:
(1) Promulgating uniform standards for developing State highway
safety programs, except for those standards the development and
administration of which are delegated to the Federal Highway
Administration.
(2) Establishing, prescribing, and enforcing National standards for
improving safety in the operation and performance of motor vehicles and
equipment.
(3) Informing the public of the comparative characteristics and
operational cost of passenger motor vehicles and requiring display of
comparative insurance costs by automobile dealers.
(4) Administering a program of mandatory automotive fuel economy
standards for passenger and non-passenger automobiles for model year
1978 and beyond.
(5) Establishing safeguards for the protection of purchasers with
respect to the sale of motor vehicles having altered or reset odometers
and enforcing the prohibition against tampering with odometers.
(g) The Urban Mass Transportation Administration. Is responsible
for:
(1) Exercising the authority vested in the Secretary for developing
comprehensive and coordinated mass transportation systems to serve
metropolitan and other urban areas;
(2) Administering urban mass transportation programs and functions;
and
(3) Assuring appropriate liaison and coordination with other
governmental organization, with respect to the foregoing.
(h) The St. Lawrence Seaway Development Corporation. Is responsible
for the development, operation, and maintenance of that part of the St.
Lawrence Seaway within the territorial limits of the United States.
(i) The Research and Special Programs Administration. Is responsible
for:
[[Page 8]]
(1) Planning, developing, initiating and managing programs in all
fields of transportation research and development. Maintaining the
capability to perform research and analysis in transportation planning
and socioeconomic effects, program management, and technological support
in response to request for line participation in DOT policy
formulations. Particular efforts will be made on transportation systems
problems, advanced transportation concepts, and on multimodal
transportation. RSPA will develop and maintain a vital statistics and
related transportation information data base;
(2) Exercising for the Secretary the multimodal hazardous materials
(HM) program and prescribing and enforcing safety regulations for the
transportation of gases or hazardous liquids by pipeline;
(3) Developing, managing, and evaluating programs and research
activities for the security of passengers and cargo in the
transportation systems and for the prevention of unlawful or other acts
adversely affecting the efficiency or integrity of the Nation's
transportation systems and providing leadership in the development and
improvement of coordinated domestic and international transportation
services;
(4) Providing leadership on all technical, navigation and
communication, and systems engineering activities;
(5) Providing a point of contact for the Department with the
academic community to encourage transportation research;
(6) Overseeing the effective discharge of the Secretary's statutory
and administrative transportation responsibilities in all emergencies
affecting the national defense and in national or regional crises; and
(7) Managing a Transportation Safety Institute which designs and
conducts training programs responsible to the requirements of Government
and industry as expressed by the operating elements of the Department.
(j) The Maritime Administration. Is responsible for:
(1) Fostering the development and maintenance of an American
merchant marine sufficient to meet the needs of the national security
and of the domestic and foreign commerce of the United States;
(2) Awarding and administering construction-differential subsidy
contracts and operating-differential subsidy contracts to aid the
American merchant marine, and trade-in allowances for new ship
construction;
(3) Entering into and administering agreements for capital
contruction funds (excepting fishing vessels) and construction reserve
funds;
(4) Providing insurance on construction loans and ship mortgages or
guarantees on ship financing obtained from private sources for ship
construction and reconstruction (excepting fishing vessels);
(5) Providing assistance to the shipping industry to generate
increased trade and cargo shipments on U.S. flag ships;
(6) Promoting development of ports and intermodal transportation
systems;
(7) Promoting development of the domestic waterborne commerce of the
United States;
(8) Overseeing the administration of cargo preference statutes;
(9) Entering into and administering charters and general agency
agreements for operation of Government-owned merchant ships;
(10) Maintaining custody of, and preserving, ships in the National
Defense Reserve Fleet;
(11) Selling surplus Government-owned ships;
(12) Supervising design and construction of ships for Government
account;
(13) Furnishing war risk insurance on privately owned merchant
ships;
(14) Administering the foreign transfer program regarding ships and
other maritime properties;
(15) Training merchant marine officers;
(16) Conducting research and development to improve and promote the
waterborne commerce of the United States; and
(17) Issuing rules and regulations with respect to the foregoing
functions.
(k) The Maritime Subsidy Board (within the Maritime Administration).
Is responsible for:
(1) Making, amending, and terminating subsidy contracts, which shall
be
[[Page 9]]
deemed to include, in the case of construction-differential subsidy: (i)
The contract for the construction, reconstruction, or reconditioning of
a vessel, and (ii) the contract for the sale of the vessel to the
subsidy applicant or the contract to pay a construction-differential
subsidy and the cost of the national defense features, and, in the case
of operating-differential subsidy, the contract with the subsidy
applicant for the payment of the subsidy.
(2) Conducting hearings and making determinations antecedent to
making, amending, and terminating subsidy contracts, under the
provisions of titles V, VI, and VII, and sections 301 (except
investigations, hearings, and determinations, including changes in
determinations, with respect to minimum manning scales, minimum wage
scales, and minimum working conditions), 708, 805(a), and 805(f) of the
Merchant Marine Act, 1936, as amended (the ``Act'').
(3) Approving the sale, assignment, or transfer of any operating
subsidy contract under section 608 of the Act.
(4) Performing so much of the functions with respect to adopting
rules and regulations, subpoenaing witnesses, administering oaths,
taking evidence, and requiring the production of books, papers, and
documents, under sections 204 and 214 of the Act, as they relate to the
functions of the Board.
(5) Performing as much of the functions specified in section 12 of
the Shipping Act, 1916, as amended, as the same relate to the functions
of the Board under paragraphs (k) (1) through (4) of this section.
(l) The Bureau of Transportation Statistics. Is responsible for:
(1) Compiling, analyzing, and publishing a comprehensive set of
transportation statistics to provide timely summaries and total
(including industrywide aggregates and multiyear averages) of
transportation-related information;
(2) Establishing and implementing, in cooperation with the modal
administrators, the States, and other Federal officials, a
comprehensive, long-term program for the collection and analysis of data
relating to the performance of the national transportation system;
(3) Issuing guidelines for the collection of information by the
Department required for statistics to be compiled pursuant to 49 U.S.C.
111(c)(1) in order to ensure that such information is accurate,
reliable, relevant, and in a form that permits systematic analysis;
(4) Coordinating the collection of information by the Department
required for statistics to be compiled pursuant to 49 U.S.C. 111(c)(1)
with related information-gathering activities conducted by the other
Federal departments and agencies collecting appropriate data not
elsewhere gathered;
(5) Making the statistics published under this subsection readily
accessible, in compliance with all disclosure laws, regulations, and
requirements; and.
(6) Identifying information that is needed in accordance with 49
U.S.C. 111(c)(1) but which is not being collected, reviewing such needs
at least annually with the Advisory Council on Transportation
Statistics, and making recommendations to appropriate Department of
Transportation research officials concerning extramural and intramural
research programs to provide such information.
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by Amdt. 1-120, 41
FR 42956, Sept. 29, 1976; Amdt. 1-125, 41 FR 53798, Dec. 9, 1976; Amdt.
1-157, 45 FR 83403, Dec. 18, 1980; Amdt. 1-164, 46 FR 47458, Sept. 28,
1981; Amdt. 1-211, 51 FR 29471, Aug. 18, 1986; Amdt. 1-270, 60 FR 30196,
June 8, 1995; Amdt. 1-274, 60 FR 62762, Dec. 7, 1995]
Subpart B--Office of the Secretary
Sec. 1.21 Purpose.
This subpart establishes the basic organizational structure, spheres
of primary responsibility, and lines of authority in the Office of the
Secretary. It also describes the relationships between the Office of the
Secretary and the operating administrations, and provides for succession
to the position of Secretary in case of need.
Sec. 1.22 Structure.
(a) Secretary and Deputy Secretary. The Secretary and Deputy
Secretary are assisted by the following, all of which report directly to
the Secretary: The Associate Deputy Secretary and
[[Page 10]]
Director, Office of Intermodalism; the Executive Secretariat; the Board
of Contract Appeals; the Departmental Office of Civil Rights; the Office
of Small and Disadvantaged Business Utilization; the Office of
Intelligence and Security; and the Office of Public Affairs. The
Assistant Secretaries, the General Counsel, and the Inspector General
also report directly to the Secretary.
(b) Office of the Assistant Secretary for Transportation Policy.
This Office is composed of the Offices of Environment, Energy and
Safety; and Economics.
(c) Office of the Assistant Secretary for Aviation and International
Affairs. This Office is composed of the Offices of Aviation
International Economics; International Transportation and Trade;
International Aviation; and Aviation Analysis.
(d) Office of the General Counsel. This Office is composed of the
Offices of Environmental, Civil Rights, and General Law; International
Law; Litigation; Legislation; Regulation and Enforcement; the Board for
Correction of Military Records; and Aviation Enforcement and
Proceedings.
(e) Office of the Assistant Secretary for Budget and Programs. This
Office is composed of the Offices of Programs and Evaluation; and
Budget.
(f) Office of the Assistant Secretary for Governmental Affairs. This
office is composed of the Offices of Congressional Affairs and
Intergovernmental Affairs.
(g) Office of the Assistant Secretary for Administration. This
Office is composed of the Offices of Personnel; Management Planning;
Information Resource Management; Administrative Services and Property
Management; Hearings; Acquisition and Grant Management; Security;
Financial Management; and Administrative Systems Development.
(h) Office of the Inspector General. The duties and responsibilities
of the Office of Inspector General are carried out by the Assistant
Inspector General for Auditing; the Assistant Inspector General for
Investigations; the Assistant Inspector General for Policy, Planning,
and Resources; and the Assistant Inspector General for Inspections and
Evaluations.
[Amdt. 1-261, 59 FR 10061, Mar. 3, 1994, as amended by Amdt.1-268, 60 FR
14226, Mar. 16, 1995; Amdt. 1-269, 60 FR 15877, Mar. 28, 1995; Amdt. 1-
274, 60 FR 62762, Dec. 7, 1995]
Sec. 1.23 Spheres of primary responsibility.
(a) Secretary and Deputy Secretary. Overall planning, direction, and
control of departmental affairs including civil rights, contract
appeals, small and disadvantaged business participation in departmental
programs, transportation research and technology, commercial space
transportation, intelligence and security, and public affairs.
(b) Associate Deputy Secretary and Director, Office of
Intermodalism. Assists the Secretary and Deputy Secretary in carrying
out a variety of executive and managerial policies, programs and
initiatives. Focal point within the Federal Government for coordination
of intermodal transportation policy which brings together departmental
intermodal perspectives, advocates intermodal interests, and provides
secretarial leadership and visibility on issues that involve or affect
more than one operating administration.
(c) General Counsel. Legal services as the chief legal officer of
the Department, legal advisor to the Secretary and the Office of the
Secretary; final authority within the Department on questions of law;
professional supervision, including coordination and review, over the
legal work of the legal offices of the Department; drafting of
legislation and review of legal aspects of legislative matters; point of
coordination for the Office of the Secretary and Department Regulations
Council; advice on questions of international law; exercise of
functions, powers, and duties as Judge Advocate General under the
Uniform Code of Military Justice (Chapter 47 of Title 10, U.S.C.) with
respect to the United States Coast Guard; advice and assistance with
respect to uniform time matters; ensures uniform departmental
implementation of the Freedom of Information Act (5 U.S.C. 552);
responds to requests for records of the Office of the Secretary
including the Office of the Inspector
[[Page 11]]
General, under that statute; review and final action on applications for
reconsideration of initial decisions not to disclose unclassified
records of the Office of the Secretary requested under 5 U.S.C.
552(a)(3); promotion and coordination of efficient use of Departmental
legal resources; recommendation, in conjunction with the Assistant
Secretary for Administration, of legal career development programs
within the Department; review and final action on application for
correction of military records of the United States Coast Guard.
(d) Assistant Secretary for Transportation Policy. Principal policy
advisor to the Secretary and the Deputy Secretary. Public policy
development, coordination, and evaluation for all aspects of
transportation, with the goal of making the Nation's transportation
resources function as an integrated national system; evaluation of
private transportation sector operating and economic issues; evaluation
of public transportation sector operating and economic issues;
regulatory and legislative initiatives and review; energy,
environmental, disability, and safety policy and program development and
review; and transportation infrastructure assessment and review.
(e) Assistant Secretary for Aviation and International Affairs.
Public policy assessment and review; private sector evaluation;
international transportation and transport-related trade policy and
issues; regulatory and legislative initiatives and review of maritime/
shipbuilding policies and programs; transport-related trade promotion;
coordination of land transport relations with Canada and Mexico;
technical assistance and science and technology cooperation;
international visitors' programs; economic regulation of the airline
industry; and essential air service program.
(f) Assistant Secretary for Budget and Programs. Preparation, review
and presentation of Department budget estimates; liaison with OMB and
Congressional Budget and Appropriations Committees; departmental
financial plans, apportionments, reapportionments, reprogrammings, and
allotments; program and systems evaluation and analysis; program
evaluation criteria; program resource plans; analysis and review of
legislative proposals and one-time reports and studies required by the
Congress; budgetary and selected administrative matters relating to the
Immediate Office of the Secretary.
(g) Assistant Secretary for Governmental Affairs. Coordination of
legislative and non-legislative relationships; congressional affairs;
communications and coordination with Federal, State and local
governments, industry and labor, and with citizens and organizations
representing consumers.
(h) Assistant Secretary for Administration. Organization;
delegations of authority; personnel ceiling control; management studies;
personnel management; acquisition and grant management (except for the
responsibility listed for the Office of Small and Disadvantaged Business
Utilization in this section); information resource management; financial
management; development and implementation of a Departmental Accounting
and Financial Information System (DAFIS); property management
information; security; computer support; telecommunications; and
administrative support services for the Office of the Secretary and
certain other components of the Department.
(i) Inspector General. Conduct, supervise, and coordinate audits and
investigations, review existing and proposed legislation and make
recommendations to the Secretary and Congress (Semiannual reports)
concerning their impact on the economy and efficiency of program
administration, or the prevention and detection of fraud and abuse;
recommend policies for and conduct, supervise, or coordinate other
activities of the Department for the purpose of promoting economy and
efficiency in program administration, or preventing and detecting fraud
and abuse.
(j) Executive Secretary. Central facilitative staff for the
Immediate Office of the Secretary and the Secretarial Officers.
(k) Board of Contract Appeals. Conducts trials and issues final
decisions, which are appealable to the United States Court of Appeals
for the Federal Circuit, on appeals from contracting officer decisions
under contracts awarded by the Department and its
[[Page 12]]
constituent administrations in accordance with the Contract Disputes Act
of l978, 41 U.S.C. 601 et seq.; sits as the Contract Adjustment Board
with plenary authority to grant extraordinary contractual relief in
accordance with 50 U.S.C. 1431-1435 and Executive Order 10789 (3 CFR,
1954-1958 comp., p. 426), as amended; hears and decides all contractor
and subcontractor debarment, suspension, or ineligibility cases pursuant
to the Federal Acquisition Regulation, 48 CFR 9.402; judges serve as
``neutrals'' under the Administrative Dispute Resolution Act, 5 U.S.C.
581 et seq., in contract-related matters; and performs such other
adjudicatory functions assigned by the Secretary as are consistent with
the duties and responsibilities of the Board as set forth in 41 U.S.C.
601 et seq.
(l) Departmental Office of Civil Rights. The Director of the
Departmental Office of Civil Rights serves as the Department's Equal
Employment Opportunity (EEO) Officer and Title VI Coordinator. The
Director also serves as principal advisor to the Secretary and the
Deputy Secretary on the civil rights and nondiscrimination statutes,
regulations, and executive orders applicable to the Department,
including titles VI and VII of the Civil Rights Act of 1964, as amended,
the Age Discrimination in Employment Act of 1967, as amended, the Age
Discrimination Act of 1975, as amended, section 504 of the
Rehabilitation Act of 1973, as amended, the Americans with Disabilities
Act of 1990, and the Equal Pay Act of 1963. The Office of Civil Rights
also provides policy guidance to the operating administrations and
Secretarial officers on these matters. Also, the Office periodically
reviews and evaluates the civil rights programs of the operating
administrations to ensure that recipients of DOT funds meet applicable
Federal civil rights requirements.
(m) Office of Small and Disadvantaged Business Utilization.
Responsible for the Department's implementation and execution of the
functions and duties under sections 8 and 15 of the Small Business Act,
as amended, (15 U.S.C. 637 and 644), and for other departmental small
and disadvantaged business policy direction.
(n) [Reserved]
(o) Office of Intelligence and Security. Focal point within the
Department of Transportation for intelligence and security matters which
affect the safety of the traveling public.
(p) Office of Public Affairs. Focal point for public information and
departmental relations with the news media, the general public, and
selected special publics.
[Amdt. 1-261, 59 FR 10062, Mar. 3, 1994, as amended by Amdt. 265, 60 FR
2891, Jan. 12, 1995; Amdt. 1-274, 60 FR 62762, Dec. 7, 1995]
Sec. 1.24 Authority.
(a) The Deputy Secretary may exercise the authority of the
Secretary, except where specifically limited by law, order, regulation,
or instructions of the Secretary.
(b) Acting in his or her own name and title, each Assistant
Secretary, the Inspector General, or the General Counsel, within his or
her sphere of responsibility, is authorized to identify and define the
requirements for, and to recommend to the Secretary, new or revised
Departmental policies, plans, and proposals. Each of these officers is
authorized to issue Departmental standards, criteria, systems and
procedures that are consistent with applicable laws, Executive Orders,
Government-wide regulations and policies established by the Secretary,
and to inspect, review, and evaluate Departmental program performance
and effectiveness and advise the Secretary regarding the adequacy
thereof.
(c) Except for nondelegable statutory duties, including those which
devolve as a result of succession to act as Secretary of Transportation,
each Deputy Assistant Secretary, the Deputy Inspector General, and the
Deputy General Counsel is authorized to act for and perform the duties
of his or her principal in the absence or disability of the principal
and as otherwise directed by the principal.
(d) Inspector General. The Inspector General shall report to and be
under the general supervision of the Secretary and Deputy Secretary. In
accordance with the statutory intent of the Inspector General Act to
create an independent and objective unit, the Inspector General is
authorized to make
[[Page 13]]
such investigations and reports relating to the administration of the
programs and operations of the Department as are, in the judgment of the
Inspector General, necessary and desirable. Neither the Secretary nor
the Deputy Secretary shall prevent or prohibit the Inspector General
from initiating, carrying out, or completing any audit or investigation,
or from issuing any subpoena during the course of any audit or
investigation.
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by Amdt. 1-157, 45
FR 83404, Dec. 18, 1980]
Sec. 1.25 Relationships.
(a) Normal staff role. Normally, the functions of the Assistant
Secretaries are staff and advisory in nature. In performing their
functions, the Assistant Secretaries are responsible for continuing
liaison and coordination among themselves and with the operating
administrations to:
(1) Avoid unnecessary duplication of effort by or in conflict with
the performance of similar activities by the operating administrations
and the other Assistant Secretaries pursuant to their Secretarial
delegations of authority; and
(2) Assure that the views of the operating administrations are
considered in developing Departmental policies, plans, and proposals.
The Assistant Secretaries are also available to assist, as appropriate,
the operating administrations in implementing Departmental policy and
programs. As primary staff advisors to the Secretary, the Assistant
Secretaries are concerned with transportation matters of the broadest
scope, including modal, intermodal, and other matters of Secretarial
interest.
(b) Exceptions. There are exceptions to the normal staff role
described in paragraph (a) of this section. In selected instances, the
Secretary has specifically delegated to Assistant Secretaries authority
which they may exercise on the Secretary's behalf. For example, the
Secretary has delegated authority to the Assistant Secretary for
Transportation Policy and the Assistant Secretary for Aviation and
International Affairs, as appropriate, to decide on most requests to
intervene or appear before administrative agencies, subject to the
concurrence of the General Counsel. Also, from time to time, activities
of an operational character may be delegated to an Assistant Secretary
when the nature of the function or its stage of development makes it
untimely to effect assignment to an operating administration.
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by Amdt. 1-157, 45
FR 83405, Dec. 18, 1980; Amdt. 1-261, 59 FR 10063, Mar. 3, 1994]
Sec. 1.26 Secretarial succession.
(a) The following officials, in the order indicated, shall act as
Secretary of Transportation, in case of the absence or disability of the
Secretary, until the absence or disability ceases, or in the case of a
vacancy, until a successor is appointed:
(1) Deputy Secretary.
(2) General Counsel.
(3) Assistant Secretary for Transportation Policy.
(4) Assistant Secretary for Aviation and International Affairs.
(5) Assistant Secretary for Governmental Affairs.
(6) Assistant Secretary for Budget and Programs.
(7) Associate Deputy Secretary.
(8) Saint Lawrence Seaway Development Corporation Administrator.
(9) Assistant Secretary for Administration.
(b) Without regard to the foregoing, a person directed to perform
the duties of the Secretary pursuant to 5 U.S.C. 3347 shall act as
Secretary of Transportation.
[Amdt. 1-157, 45 FR 83405, Dec. 18, 1980, as amended by Amdt. 1-184, 48
FR 44079, Sept. 27, 1983; Amdt. 1-261, 59 FR 10063, Mar. 3, 1994]
Subpart C--Delegations
Sec. 1.41 Purpose.
(a) Except as provided in paragraph (b) of this section, this
subpart provides for the exercise of the powers and performance of the
duties vested in the Secretary of Transportation by law.
(b) For delegations of authority vested in the Secretary by
Executive Order 11652 originally to classify documents
[[Page 14]]
as secret or confidential, see Sec. 8.11 of this subtitle.
Sec. 1.42 Exercise of authority.
In exercising powers and performing duties delegated by this subpart
or redelegated pursuant thereto, officials of the Department of
Transportation are governed by applicable laws, Executive orders and
regulations and by policies, objectives, plans, standards, procedures,
and limitations as may be issued from time to time by or on behalf of
the Secretary, or, with respect to matters under their jurisdictions, by
or on behalf of the Deputy Secretary, an Assistant Secretary, the
Inspector General, the General Counsel, or an Administrator. This
includes, wherever specified, the requirement for advance notice to,
prior coordination with, or prior approval by an authority other than
that of the official proposing to act.
[Amdt. 1-114, 41 FR 1288, Jan. 7, 1976, as amended by Amdt. 1-157, 45 FR
83405, Dec. 18, 1980]
Sec. 1.43 General limitations and reservations.
(a) All powers and duties that are not delegated by the Secretary in
this subpart, or otherwise vested in officials other than the Secretary,
are reserved to the Secretary. Except as otherwise provided, the
Secretary may exercise powers and duties delegated or assigned to
officials other than the Secretary.
(b) Except as provided in Sec. 1.42 and subject to paragraph (a) of
this section and Sec. 1.44, the Deputy Secretary, the Assistant
Secretaries, the Inspector General, the General Counsel, and the
Administrators exercise the powers and perform the duties delegated to
them under this subpart.
(c) Notwithstanding the provisions of paragraph (a), the delegation
of authority in Sec. 1.56b of this title to the Designated Senior Career
Official in the Office of the Assistant Secretary for Aviation and
International Affairs to make decisions in certain aviation hearing
cases is exclusive, and may not be exercised by any other Departmental
official, including the Secretary. The Secretary reserves (and delegates
to the Assistant Secretary for Aviation and International Affairs) only
the authority to make discretionary review of any such decision and to
approve it or to remand it for reconsideration by the Designated Senior
Career Official, with a full written explanation of the basis for the
remand.
[Amdt. 1-157, 45 FR 83405, Dec. 18, 1980, as amended by Amdt. 1-199, 49
FR 50996, Dec. 31, 1984; Amdt. 1-261, 59 FR 10061, 10063, Mar. 3, 1994]
Sec. 1.44 Reservation of authority.
The delegations of authority in Secs. 1.45 through 1.53 and
Secs. 1.66 and Sec. 1.67 do not extend to the following actions,
authority for which is reserved to the Secretary or the Secretary's
delegatee within the Office of the Secretary:
(a) General transportation matters. (1) Transportation leadership
authority under section 4(a) of the Department of Transportation Act (49
U.S.C. 1653(a)).
(2) Functions relating to transportation activities, plans, and
programs under section 4(g) of the Department of Transportation Act (49
U.S.C. 1653(g)).
(3) Authority to develop, prepare, coordinate, transmit, and revise
transportation investment standards and criteria under section 7 of the
Department of Transportation Act (49 U.S.C. 1656).
(4) Authority relating to standard time zones and advanced
(daylight) time (15 U.S.C. 260 et seq.).
(5) Authority related to national transportation policy under
section 3 of the Airport and Airway Development Act of 1970 (84 Stat.
219).
(b) Legislation and reports. (1) Submission to the President, the
Director of the Office of Management and Budget, or the Congress of
proposals or recommendations for legislation, Executive orders,
proclamations or reorganization plans or other Presidential action.
(2) Submission to Congress or the President of any report or any
proposed transportation policy or investment standards or criteria,
except with the prior written approval of the Secretary.
(3) Submission of the annual statement on systems of internal
accounting and administrative control under the Federal Managers'
Financial Integrity Act of 1982 (Pub. L. 97-255).
[[Page 15]]
(c) Budget and finance. (1) Approval and submission to the Office of
Management and Budget of original or amended budget estimates or
requests for allocations of personnel ceiling (31 U.S.C. 22-24).
(2) Approval of requests for legislation which, if enacted, would
authorize subsequent appropriations for the Department (31 U.S.C. 581b).
(3) Transfer of the balance of an appropriation from one operating
element to another within the Department (31 U.S.C. 581c).
(4) Submission to the Director of the Office of Management and
Budget of requests for the transfer of the balance or portions of an
appropriation from one element to another within the Department (31
U.S.C. 665).
(d) Interventions and appearances. Except with respect to
proceedings relating to safety fitness of an applicant (49 U.S.C.
1653(e)), the making of decisions on requests to intervene or appear
before courts and administrative agencies to present the views of the
Department.
(e) Personnel. (1) Recommendations to the Civil Service Commission
of the allocation of a position to GS-16, 17, or 18 or an equivalent
level (5 U.S.C. 5108).
(2) Recommendations to the Civil Service Commission of approval of
the qualifications of any candidate for a position at grade GS-16, 17,
or 18 or an equivalent level (5 U.S.C. 3324), or to an executive level
position.
(3) Recommendations to the Civil Service Commission of a Lump-Sum
Incentive Award in Excess of $5,000 (5 U.S.C. 4502).
(4) Approval of the following actions relating to Schedules A, B,
and C and noncareer executive assignment positions or incumbents, except
for actions under Schedules A and B limited to one year or less at grade
GS-9 or lower, or an equivalent level:
(i) Establishment or abolition of positions;
(ii) Hires;
(iii) Promotions other than quality and periodic within-grade
promotions;
(iv) Transfer of personnel to Schedule A, B, or C positions or non-
career executive assignment positions, either permanently or on detail;
and
(v) Transfer of personnel from Schedule A, B, or C or non-career
executive assignment positions to career Civil Service positions.
(5) Approval of employment of experts or consultants.
(6) Authority relating to scientific and professional positions
under section 6(a) (5) of the Department of Transportation Act (49
U.S.C. 1655(a)(5)).
(7) Authority to determine the maximum limit of age for appointment
of air traffic controllers as provided by 5 U.S.C. 3307(b) (86 Stat.
141).
(8) Authority to develop, coordinate, and issue wage schedules under
the Federal Wage system, except as delegated to the Commandant of the
Coast Guard at Sec. 1.46.
(f) Security. (1) Suspension or removal of an employee from a
position in the Department for security reasons under Executive Order
10450 (3 CFR, 1949-53 Comp., p. 936) or the employment in the Department
of a person who was previously separated for security reasons from any
Federal agency.
(2) Authorizing the filling of a critical-sensitive position for a
limited period by a person on whom a preappointment full field
investigation has not been completed (Executive Order 10450).
(3) Requesting Presidential approval of a claim of executive
privilege with respect to information requested by a congressional
committee or Member of Congress.
(4) Making determinations prescribed by sections 4(a)(2)(B),
4(b)(3), 5(b), and 9 of Executive Order 10865 (3 CFR, 1959-63 Comp., p.
398) relating to the adjudication and final denial of access to
classified information to industry personnel.
(5) Making those determinations or delegations prescribed by
sections 2(B) (3), 5(E) (1) and (2) of Executive Order 11652 (37 FR
5209, March 10, 1972) which are reserved to the head of the Department.
(g) Procurement. Exercise of the extraordinary authority for defense
contracts provided for in Public Law 85-804 (50 U.S.C. 1431-1435), and
considerations and decisions on contract appeals and other matters
pursuant to the Department of Transportation Contract Appeals
Regulations (41 CFR part 12-60).
[[Page 16]]
(h) Printing. Requesting approval of the Joint Committee on Printing
for any procurement or other action requiring Committee approval.
(i) Interagency agreements. Execution of any written
interdepartmental or interagency agreement with the head of another
executive department or agency.
(j) Withholding of funds. Withholding or suspension of Federal-Aid
Highway funds on a state-wide basis and the waiver or compromise of such
withholding or suspension, except for the administration of 23 U.S.C.
141 and 154, which are specifically delegated in Sec. 1.48(b) (23) and
(28) and in Sec. 1.50(i) (1) and (2).
(k) Alaska Railroad. Extension or abandonment of railroad service.
(l) National Highway Safety Advisory Committee. Directing the
National Highway Safety Advisory Committee to meet (23 U.S.C. 404(c)).
(m) Coast Guard. The following powers relating to the Coast Guard:
(1) Appointment of Advisory Committee to the Academy (14 U.S.C.
193).
(2) Fixing date for visit to Academy by Board of Visitors (14 U.S.C.
194(b)).
(3)-(4) [Reserved]
(5) Responsibility for supervising activities of Reserve components
(10 U.S.C. 264(b)).
(6) Convening General Courts-Martial under the personal authority
granted by law (10 U.S.C. 822(a)(2)).
(7) Approval of execution of a sentence dismissing a commissioned
officer or cadet (10 U.S.C. 871(b)).
(8) Approval of vacation of a suspension of dismissal (10 U.S.C.
872(b)).
(9) Establishing procedures for the correction of military records
(10 U.S.C. 1552(a)).
(10) Establishing a Discharge Review Board under 10 U.S.C. 1553 and
reviewing and taking final action on its findings in the following
cases:
(i) Those cases in which a minority of the Board requests that their
written opinion be forwarded to the Secretary for consideration;
(ii) Those cases selected by the Commandant to inform the Secretary
of aspects of the Board's functions which may be of interest to the
Secretary;
(iii) Any case in which the Secretary demonstrates an interest; and
(iv) Any case which the president of the Board believes is of
significant interest to the Secretary.
(11) [Reserved]
(12) Substitute administrative discharge for dismissal of an officer
under 10 U.S.C. 804 (a) and (b).
(13) Designation of commanding officers and officers in charge who
may convene general, special and summary courts-martial. (10 U.S.C.
822(a)(6), 823(a)(7), and 824(a)(4).
(14) In time of war certify cases to President to extend statute of
limitations until after termination of hostilities. (10 U.S.C. 843(e)).
(15) Direct Judge Advocate General to establish branch office. (10
U.S.C. 868).
(16) Designate officers authorized to remit or suspend any part of
amount of unexecuted part of any sentence. (10 U.S.C. 874(a)).
(17) Substitute administrative form of discharge for discharge or
dismissal executed in accordance with sentence of court-martial (10
U.S.C. 874(b)).
(18) Substitute administrative discharge for previously executed
sentence of dismissal when dismissal not imposed at new trial. (10
U.S.C. 875(c)).
(19) Designate persons to convene courts of inquiry. (10 U.S.C.
935(a)).
(n) Automatic data processing. Approval authority relating to
automatic data processing equipment and services as delimited by DOT
1370.2A, Procurement of Automatic Data Processing Equipment and
Services, of 7.22.70.
(o) Deepwater ports. The following powers and duties relating to the
Deepwater Port Act of 1974 (33 U.S.C. 1501-1524):
(1) The authority to issue, transfer, amend or renew a license for
the construction and operation of a deepwater port (33 U.S.C. 1503(b)).
(2) Approval of fees charged by adjacent coastal States for use of a
deep-water port and directly related land based facilities (33 U.S.C.
1504(h)(2)).
(3) Consultation with the Secretary of State relating to
international actions and cooperation in the economic, trade and general
transportation policy aspects of the ownership and operation of
deepwater ports (33 U.S.C. 1510).
[[Page 17]]
(4) Prescription of regulations for the submission of notice of the
commencement of a civil suit (33 U.S.C. 1515(b)(2)).
(5) Intervention in any civil action to which the Secretary is not a
party (33 U.S.C. 1515(c)).
(6) [Reserved]
(7) Authority to request the Attorney General to seek the suspension
or termination of a deepwater port license and to initiate a proceeding
before the Interstate Commerce Commission (33 U.S.C. 1507, 1511).
(p) [Reserved]
(q) Review and finality of actions by Maritime Subsidy Board. (1)
Review of any decision, report, and/or order of the Maritime Subsidy
Board, as described in 46 CFR part 202, as amended.
(r) Approval of cash purchases of passenger transportation. The
authority under FPMR G-72, as amended, to authorize and approve cash
purchases for emergency passenger transportation services costing more
than $100.
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975]
Editorial Note: For Federal Register citations affecting Sec. 1.44,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Sec. 1.45 Delegations to all Administrators.
(a) Except as prescribed by the Secretary of Transportation, each
Administrator is authorized to:
(1) Exercise the authority of the Secretary over and with respect to
any personnel within their respective organizations.
(2) Exercise the authority of the Secretary as executive head of a
department, under any statute, Executive order or regulation.
(3) Request the Attorney General to approve the award, compromise,
or settlement of any tort claim for an amount exceeding $100,000
(excluding interest) (28 U.S.C. 2672).
(4) Carry out the functions vested in the Secretary concerning
environmental enhancement by 49 U.S.C. 303.
(5) Carry out the emergency preparedness functions assigned to the
Secretary by Executive Order 12656 and by the Federal Emergency
Management Agency, General Services Administration (FEMA/GSA) as they
pertain to his administration, including those relating to continuity of
operations, emergency resource management, associated Federal claimant
procedures, facilities protection and warfare effects monitoring and
reporting, research, stockpiling, financial aid, and training.
(6) Enter into inter- and intradepartmental reimbursable agreements
other than with the head of another department or agency (31 U.S.C.
686). This authority may be redelegated only to Office Directors,
Regional Directors, District Commanders or other comparable levels and
Contracting Officers.
(7) Determine the existence and amount of indebtedness and the
method of collecting repayments from employees and members within their
respective administrations and collect repayments accordingly, as
provided by 5 U.S.C. 5514. Redelegation of this authority may be made
only to the principal officials responsible for financial management or
such officials' principal assistants.
(8) Waive claims and make refunds in connection with claims of the
United States for erroneous payment of pay and allowances or of travel,
transportation, and relocation expenses and allowances in amounts
aggregating not more than $1,500 without regard to any repayments, and
deny requests for waiver of such claims regardless of the aggregate
amount of the claim, as provided by 4 CFR parts 91, 92, and 93.
Redelegation of this authority may be made only to the level of Regional
Director or District Commander.
(9) Settle and pay claims by employees for personal property losses
as provided by 31 U.S.C. 3721. This authority may be redelegated only to
Office Directors, Regional Directors, District Commanders, or other
comparable levels and to those individuals that report to the above
officials.
(10) Exercise the authority of the Secretary to resolve informal
allegations of discrimination arising in or relating to their respective
organizations through Equal Employment Opportunity counseling or the
Alternative Dispute Resolution process and to develop and implement
affirmative action and diversity plans within their respective
organizations. With regard
[[Page 18]]
to external civil rights programs, each Administrator exercises
authority pursuant to statutes, regulations, executive orders, or
delegations in subpart C of this part to carry out these programs, under
the general policy guidance of the Director of the Departmental Office
of Civil Rights, including conducting compliance reviews and other
activities relating to the enforcement of these statutes, regulations,
and executive orders.
(11) Review and approve for payment any voucher for $25 or less the
authority for payment of which is questioned by a certifying or
disbursing officer.
(12) Authorize and approve official non-foreign travel and
transportation for themselves, their subordinates, and others performing
services for, or in cooperation with, their operating administrations.
Additionally, heads of operating administrations, through a redelegation
from the Deputy Secretary, may authorize and approve routine operational
foreign travel, as defined in DOT 1500.6A, Travel Manual, of 1-2-85.
These authorities may be redelegated in accordance with regulations
issued by the Assistant Secretary for Administration.
(13) Exercise the authority of the Secretary to make certifications,
findings and determinations under the Regulatory Flexibility Act (Pub.
L. 96-354) with regard to any rulemaking document for which issuance
authority is delegated by other sections in this part. This authority
may be redelegated to those officials to whom document issuance
authority has been delegated.
(14) Carry out the functions vested in the Secretary by section 2 of
the Federal Technology Transfer Act of 1986, (Pub. L. No. 99-502; 15
U.S.C. 3710a), which authorizes agencies to permit their laboratories to
enter into cooperative research and development agreements.
(15) Compromise, suspend collection action on, or terminate claims
of the United States not exceeding $100,000 (excluding interest) that
are referred to, or arise out of the activities of, his or her Operating
Administration;
(16) Compromise, suspend collection action on, or terminate claims
against the United States not exceeding $100,000 (excluding interest)
that are referred to, or arise out of the activities of, his or her
Operating Administration; provided that when the Administrator believes
that a claim against the United States presents a novel question of law
or of policy, he or she shall obtain the advice of the Assistant
Attorney General in charge of the Civil Division; and provided further
that whenever he or she settles any administrative claim against the
United States for an amount in excess of $50,000, the Administrator
shall prepare a memorandum fully explaining the basis for the action
taken and send a copy of the memorandum to the Director, Federal Torts
Claims Act Staff, Torts Branch of the Civil Division, U.S. Department of
Justice.
(17) Enter into memoranda of understanding with the Occupational
Safety and Health Administration (OSHA) in regard to setting and
enforcing occupational safety or health standards for employees in DOT-
regulated industries. The General Counsel shall concur in each
memorandum of understanding with OSHA prior to its execution by the
Administrator of the operating administration concerned.
(18) Exercise the authority vested in the Secretary by Section 329A
of the Department of Transportation and Related Agencies Appropriations
Act, 1995, Pub. L. No. 103-331, Sec. 329A, 108 Stat. 2471, 2493
(September 30, 1994), to enter into grants, cooperative agreements, and
other transactions with any person, agency, or instrumentality of the
United States, any unit of state or local government, any educational
institution, and any other entity in execution of the Technology
Reinvestment Project authorized under the Defense Conversion,
Reinvestment, and Transition Assistance Act of 1992, Pub. L. No. 102-
484, 106 Stat. 2658 (October 23, 1992), and related legislation.
(b) Except as otherwise specifically provided, each official to whom
authority is granted by Secs. 1.45 through 1.53, 1.66, and 1.68 may
redelegate and authorize successive redelegations of that authority
within the organization under that official's jurisdiction.
(c) Except as provided in Secs. 1.48 and 1.59 and 49 CFR 25.302, the
functions, powers, and duties of the Secretary of
[[Page 19]]
Transportation, with respect to the Uniform Relocation Assistance and
Real Property Acquisition Act of 1970, Public Law 91-646, 84 Stat. 1984,
are delegated to:
(1) The head of each of the following Operating Administrations with
respect to programs administered by their respective organizations:
(i) U.S. Coast Guard;
(ii) Federal Aviation Administration;
(iii) Federal Highway Administration;
(iv) Federal Railroad Administration;
(v) Urban Mass Transportation Administration;
(vi) National Highway Traffic Safety Administration;
(vii) St. Lawrence Seaway Development Corporation; and
(viii) Maritime Administration.
(2) [Reserved]
(d) Each office to whom authority is delegated by either
Sec. 1.45(c) or Sec. 1.59(p) may redelegate and authorize successive
redelegations of that authority within the organization under the
Administrators' or Assistant Secretary for Administration's
jurisdiction.
(e) Each office to whom authority is delegated by either
Sec. 1.45(c) or Sec. 1.59(p) may prescribe additional procedures,
requirements and regulations that are appropriate to the particular
programs administered by the preparing official's organization,
provided:
(1) Any such additional guidance is not inconsistent with the Act,
49 CFR part 25 or subpart C of this manual;
(2) Any such additional guidance is approved prior to issuance by
the Federal government's designated lead agency, the Federal Highway
Administration (see Sec. 1.48(cc)), in coordination with the Assistant
Secretary for Transportation Policy.
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975]
Editorial Note: For Federal Register citations affecting Sec. 1.45,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Sec. 1.46 Delegations to Commandant of the Coast Guard.
The Commandant of the Coast Guard is delegated authority to:
(a) [Reserved]
(b) Carry out all the activities of the Coast Guard, including, but
not limited to, law enforcement, safety of life and property at sea
(excluding 46 U.S.C. 170 (7), (10) and (11)), aids to navigation, search
and rescue, icebreaking, oceanographic research and military readiness
functions (49 U.S.C. 1655(b)(1)).
(c) Carry out the following laws relating generally to water vessel
anchorages, drawbridge operating, regulations, obstructive bridges,
pollution of the sea by oil and the locations and clearances of bridges
and causeways over the navigable waters of the United States:
(1) Section 7 of the Act of March 4, 1915, as amended (38 Stat.
1053; 33 U.S.C. 471);
(2) Section 5 of the Act of August 18, 1894, as amended (28 Stat.
362; 33 U.S.C. 499);
(3) The Act of June 21, 1940, as amended (54 Stat. 497; 33 U.S.C.
511 et seq.);
(4) The Oil Pollution Act, 1961, as amended (75 Stat. 402; 33 U.S.C.
1001 et seq.);
(5) Sections 9 and 18 of the Act of March 3, 1899, as amended (30
Stat. 1151; 33 U.S.C. 401, 502);
(6) The Act of March 23, 1906, as amended (34 Stat. 84, 33 U.S.C.
491 et seq.) except section 3 (33 U.S.C. 493) and that portion of
section 4 (33 U.S.C. 494) that relates to tolls.
(7) The General Bridge Act of 1946, as amended (60 Stat. 847, 33
U.S.C. 525 et seq.) except sections 502(c) and 503.
(d) Carry out the functions vested in the Secretary by the Vessel
Documentation Act (94 Stat. 3453, 46 U.S.C. 65a et seq.) and the Tonnage
Measurement Simplification Act (94 Stat. 3461, 46 U.S.C. 71 et seq.),
and the functions assigned to the Secretary by Executive Order 12419
relating to admeasurement of ships; and carry out Reorganization Plan
No. 1 of 1967, relating to ship mortgages.
(e) Request the Secretary of the Navy to build at naval shipyards
Coast Guard vessels not normally or economically obtainable from private
contractors (14 U.S.C. 145(a)(1)).
(f) Administer Executive Order 11459 (34 FR 5057), relating to
approval of containers for transport under Customs seal.
(g) Exchange information, through the Secretary of State, with
foreign
[[Page 20]]
governments on matters dealing with the safety of life and property at
sea, other than radio communications, but not including the submission
of suggestions to the Secretary of State on international collaboration
and conferences (14 U.S.C. 142).
(h) Exchange personnel, vessels, facilities, and equipment with the
Secretary of the Navy to facilitate operational readiness for wartime
service with the Navy, and agree to undertake such assignments and
functions for the mutual benefit of the Navy and Coast Guard as are
necessary and advisable, except with respect to those exchanges and
agreements which, in the Commandant's judgment, may have substantial
political impact or adversely affect mission performance (14 U.S.C.
145(c)).
(i) Approve retention of a rear admiral on active duty for a period
not exceeding one year (14 U.S.C. 290(b)).
(j) Through the Chief Counsel, U.S. Coast Guard, settle and pay
claims against the United States as provided by 10 U.S.C. 2733.
(k) Award life-saving medals and military decorations (except the
Medal of Honor, the Distinguished Service Medal, and the Legion of
Merit) and carry out the laws and Executive orders relating to those
awards (14 U.S.C. 492a, 493, 494, 496, 497, 498, 500, 501, 502;
Executive Order 4601, Mar. 1, 1926, as amended by Executive Order 7786
(3 FR 39); Executive Order 9158 (7 FR 3541), as amended by Executive
Order 9242A (7 FR 7874); Executive Order 10637 (20 FR 7025); Executive
Order 11016 (27 FR 4139); Executive Order 11046 (27 FR 8575); Executive
Order 11448 (34 FR 915)).
(l) Carry out the functions vested in the Secretary by sections
104(i), 104(j), 311(b), 311(j) (2) and (3), 311(m)(2), 312, and
402(b)(6) of the Federal Water Pollution Control Act (33 U.S.C. 1321),
as amended by the Oil Pollution Act of 1990 (August 18, 1990; Pub L.
101-380; 104 Stat. 484), and sections 4202(b) (2) and (3) of the Oil
Pollution Act of 1990.
(m) Carry out the functions assigned to the Secretary by Executive
Order 12777 (3 CFR, 1991 Comp.; 56 FR 54757) in sections 1(b), 2(a),
2(b)(2), 2(c), 2(d)(2), 2(e)(2), 2(f), 2(g)(2), 3, 5(a)(2), 5(b)(1) and
(3), 6, 7(a) (1) and (3), 7(b), 7(c), 7(d), 8(d), 8(f), 8(g), 8(h), 9,
and 10(c), excepting that portion of section 2(b)(2) relating to the
establishment of procedures, methods, and equipment and other
requirements for equipment to prevent and to contain discharges of oil
and hazardous substances from pipelines, motor carriers, and railroads;
and further excepting the exercise of the authority in section 2(d)(2)
over motor carriers and railroads, other than for operations incident to
the transfer of oil or hazardous substances to or from vessels, and the
exercise of the authority in section 2(d)(2) over pipelines.
(n) Carry out the functions vested in the Secretary by the following
statutes:
(1) Federal Boat Safety Act of 1971 (85 Stat. 213);
(2) Vessel Bridge-to-Bridge Radio-Telephone Act (85 Stat. 164);
(3) Public Law 92-339, relating to the licensing of personnel on
certain towing vessels (86 Stat. 423);
(4) Port and Tanker Safety Act of 1978 (92 Stat. 1471), except
sections 4, 5, 6, 7, 8, 12 and 13 of Sec. 2 to the extent that those
sections pertain to the operation of the St. Lawrence Seaway;
(5) Sections 104 (a) and (g), 107(c), 108, 201, and 302(a) of the
Marine Protection, Research, and Sanctuaries Act of 1972 (Pub. L. 92-
532) relating to ocean dumping;
(6) International Voyage Load Line Act of 1973 (Pub. L. 93-115);
(7) Intervention on the High Seas Act (Pub. L. 93-248) except
section 13(a);
(8) Public Law 93-524 (88 Stat. 1694) which relates to waste
materials on vessels (46 U.S.C. 77(e));
(9) Public Law 94-85 (89 Stat. 426), which relates to carriage of
additional passengers on documented vessels in emergency situations;
(10)(i) Section 304(a)(1) of the Independent Safety Board Act of
1974 (49 U.S.C. 1903(a)(1)) insofar as it relates to the promulgation of
joint regulations with the National Transportation Safety Board (NTSB)
governing investigations of major marine casualties and casualties
involving public and non-public vessels, and the conduct of accident
investigations upon request of the Board;
(ii) Section 307 of the Independent Safety Board Act of 1974 (49
U.S.C. 1906)
[[Page 21]]
insofar as it relates to responses to NTSB recommendations regarding
marine casualties;
(11) International Navigational Rules Act of 1977 (Pub. L. 95-75, 91
Stat. 308);
(12) International Safe Container Act (Pub. L. 95-208, 91 Stat.
1475), except section 4(e);
(13) 14 U.S.C. 195, relating to instruction of foreign nationals at
the Coast Guard academy; and
(14) Inland Navigational Rules Act of 1980 (Pub. L. 96-591).
(o) Carry out the functions vested in the Secretary by 14 U.S.C. 475
and Executive Order 11645, 3 CFR 371 (1973), 37 FR 2923, February 10,
1972, relating to the rental of housing facilities at or near Coast
Guard installations.
(p) Carry out the functions vested in the Secretary by Public Law
92-425 and Executive Order 11687 (37 FR 21479), relating to the Retired
Serviceman's Survivor Benefit Plan.
(q) Carry out the functions vested in the Secretary by section 5 of
the International Bridge Act of 1972 (Pub. L. 92-434) as it relates to
navigable waterways other than the St. Lawrence River.
(r) Carry out the functions vested in the Secretary by 14 U.S.C.
657, relating to schooling and transportation to schools for dependents
of Coast Guard personnel.
(s) Carry out the functions and responsibilities vested in the
Secretary by the Deepwater Port Act of 1974 (33 U.S.C. 1501-1524),
except as reserved by Sec. 1.44(o) and delegated by Sec. 1.53(c).
(t) Carry out the functions vested in the Secretary by 49 App.
U.S.C. 1801-1819, and 46 App. U.S.C. 3306(a)(5) to the extent they
relate to regulations and exemptions governing the bulk transportation
of hazardous materials that are loaded or carried on board a vessel
without benefit of containers or labels, and received and handled by the
vessel carrier without mark or count, and regulations and exemptions
governing ships' stores and supplies.
(u) Carry out the functions vested in the Secretary by 49 U.S.C.
1808(a), (b), and (c) and 1809 and 1810, relating to investigations,
records, inspections, penalties, and specific relief, so far as they
apply to the transportation or shipment of hazardous materials by water.
(v) Carry out the functions vested in the Secretary by the Magnuson
Fishery Conservation and Management Act (Pub. L. 94-265, as amended; 16
U.S.C. 1801 et seq.) except that the authority to approve seizure of a
foreign vessel may not be redelegated and shall be exercised in each
instance only after consultation with the Department of State.
(w) Issue wage schedules for trades, crafts, and laboring employees
in nonappropriated fund activities.
(x) Carry out the functions vested in the Secretary by 10 U.S.C.
2683 insofar as it relates to the relinquishment to a state of
legislative jurisdiction of the United States over lands and interests
under the control of the Coast Guard in that state.
(y) Carry out the functions and responsibilities vested in the
Secretary by the Natural Gas Pipeline Safety Act of 1968, as amended (49
U.S.C. 1671 et seq.) relating to rulemaking so far as it applies to
liquefied natural gas facilities adjacent to the navigable waters of the
United States: Provided, That such rulemaking is in accordance with the
Memorandum of Understanding between the Coast Guard and Materials
Transportation Bureau executed on February 7, 1978, for regulation of
such facilities.
(z) Carry out the functions vested in the Secretary by the Outer
Continental Shelf Lands Act (43 U.S.C. 1331 et seq.), as amended, title
VI of the Outer Continental Shelf Lands Act Amendments of 1978
(September 18, 1978; Pub. L. 95-372; 92 Stat. 629), except as delegated
by Sec. 1.53(a)(6).
(aa) Carry out the functions vested in the Secretary by the Federal
Land Policy and Management Act of 1976 (43 U.S.C. 1714(i)) for lands
under the administration of the U.S. Coast Guard.
(bb) Carry out the functions vested in the Secretary by the Act of
September 10, 1976 (90 Stat. 1236, 46 U.S.C. 420) relating to the
issuance of permits exempting specific cargo-carrying vessels operating
within the State of Alaska from all or part of 46 U.S.C. 88, 391, 391a,
and 404 and the regulations issued thereunder.
(cc) Carry out the requirements of section 146 of the Surface
Transportation Assistance Act of 1978 (Pub. L.
[[Page 22]]
95-599, 92 Stat. 2689) relating to foreign-built hovercraft in Alaska.
(dd) Exercise all functions of the General Services Administrator
pertaining to the acquisition of special purpose space in urban centers,
as defined in 41 CFR 101-18.102, to house U.S. Coast Guard Recruiting
Offices pursuant to the Federal Property and Administrative Services Act
of 1949 (63 Stat. 377), as amended, and to acquire such space by firm
term leases up to five (5) years in accordance with the authority
contained in section 210(h) (1) of the Federal Property and
Administrative Services Act of 1949, as amended. Provided, that such
authority is exercised in accordance with the Memorandum of
Understanding between the Department of Transportation and the General
Services Administration executed on January 27, 1981, for implementation
of this delegation.
(ee) Carry out all functions vested in the Secretary in any capacity
by the Ocean Thermal Energy Conversion Act of 1980 (Pub. L. 96-320,
August 3, 1980), except title II.
(ff) Carry out the functions vested in the Secretary by:
(1) Section 108(a)(3) of the Comprehensive Environmental Response,
Compensation, and Liability Act, as amended (42 U.S.C. 9608(a)(3)), and
by sections 7(b)(1), 7(b)(2), and 7(c) (2) of Executive Order 12580
relating to vessel financial responsibility; and
(2) Sections 2(e)(1), 2(e)(2), 2(i), 2(j)(1), 2(j)(2), 2(k), 3(a),
4(b)(1), 4(b)(2), 6(c), 9(d), 9(i), and 11(b)(2) of Executive Order
12580 relating to facilities and vessels under the jurisdiction,
custody, or control of the Coast Guard.
(gg) Carry out the functions, relating to releases or threatened
releases involving the coastal zone, Great Lakes waters, and ports and
harbors, vested in the Secretary by sections 2(f), 2(i), 2(j)(2), 2(k),
4(c)(1), 4(c)(2), 5(b), 6(c), 9(d), 9(i), and 11(b)(2) of Executive
Order 12580 insofar as they relate to:
(1) Responses to releases or threats of releases from vessels;
(2) Emergency action concerning releases or threats of releases at
facilities other than active or inactive ``hazardous waste management
facilities'' (as defined in 40 CFR 270.2); and
(3) Emergency action concerning releases or threats of releases at
active or inactive ``hazardous waste management facilities'' only when
the Coast Guard On-Scene Coordinator determines that such action must be
taken pending the arrival on scene of an Environmental Protection Agency
(EPA) On-Scene Coordinator (OSC). Unless otherwise agreed upon by the
EPA and Coast Guard, this authority will not be exercised unless the EPA
OSC is scheduled to arrive on scene within 48 hours of notification of
the release or threat of release.
As used in this paragraph ``emergency action'' includes any removal
action which, in the view of the Coast Guard On-Scene Coordinator, must
be taken immediately to prevent or mitigate immediate and significant
danger to the public health, welfare, or the environment. Situations in
which such actions may be taken include, but are not limited to, fire,
explosions, and other sudden releases; human, animal, or food chain
exposure to acutely toxic substance; and the contamination of a drinking
water supply. All functions listed in this paragraph include the
authority to contract for, obligate monies for, and otherwise arrange
for and coordinate the responses included within such functions.
(hh) Carry out the functions vested in the Secretary by the Act to
Prevent Pollution from Ships (October 21, 1980; Pub. L. 96-478; 94 Stat.
2297) except section 10(b) and (c) and except as limited by
Sec. 1.47(n), Sec. 1.52(c), and Sec. 1.66(u) of this title.
(ii) Carry out the functions vested in the Secretary by the Deep
Seabed Hard Mineral Resources Act (June 21, 1980; Pub. L. 96-283; 94
Stat. 553), except section 118.
(jj) Carry out the functions vested in the Secretary to convene and
approve a Coast Guard Reserve Policy Board as provided in 14 U.S.C. 703.
(kk) Carry out the functions vested in the Secretary by the
Fisheries Amendments of 1982 (Pub. L. 97-389; 96 Stat. 1949) relating to
implementation of the Convention for the Conservation of Salmon in the
North Atlantic Ocean and to documentation and certification of
inspection of certain vessels.
[[Page 23]]
(ll) Carry out the functions vested in the Secretary by sections
1015(b), 1016, 4107(b), 4109, 4110, 4111, 4114(a), 4115(b), 4115(e),
4116(c), 4118, 4203, 5002(c)(4), 5002(i), 5002(k), 5003, 5004,
5005(a)(5), 7001(a), 7001(b)(2) and 7001(c) (6) and (11) of the Oil
Pollution Act of 1990 (August 18, 1990; Pub. L. 101-380; 104 Stat. 484).
(See 49 CFR 1.53 and 1.66).
(mm)--(oo) [Reserved]
(pp) Except as specifically reserved in 49 CFR 1.44, carry out the
responsibilities of, and exercise the authority of the Secretary
contained in the Uniform Code of Military Justice, chapter 47 of title
10 United States Code, and the Manual for Courts-Martial, United States.
(qq) Carry out the functions and exercise the authority vested in
the Secretary by 14 U.S.C. 659 relating to providing assistance to film
producers and obtaining reimbursement for assistance provided.
(rr) Exercise the authority of the Secretary contained in 10 U.S.C.
1588 to accept voluntary services for a museum or a family support
program operated by the Coast Guard; to determine which expenses are
eligible for reimbursement; and to provide reimbursement from
nonappropriated funds of incidental expenses incurred by persons
providing voluntary services as an ombudsman or for a family service
center program.
(ss) Carry out the functions and exercise the authority vested in
the Secretary by chapter 125, title 46 U.S.C., to establish and maintain
a vessel identification system and to charge fees to persons providing
information to or requesting information from the system.
(tt) Carry out the functions and exercise the authority vested in
the Secretary by chapter 19, title 14 U.S.C., to establish and carry out
a program of environmental compliance and restoration at current and
former Coast Guard facilities and to expend funds from the Environmental
Compliance and Restoration Account.
(uu) Carry out the functions and exercise the authority vested in
the Secretary by 46 U.S.C. 2110 to establish, collect, and enforce the
fees and charges required by that section.
(vv) Carry out the functions and exercise the authority vested in
the Secretary by 46 U.S.C. 8103(b)(3) to waive the citizenship
requirements on vessels documented under U.S. law.
(ww) Carry out the functions and exercise the authority vested in
the Secretary by 16 U.S.C. 4711 to establish and enforce regulations to
prevent the introduction and spread of aquatic nuisance species into the
Great Lakes through the ballast water of vessels. This authority may be
redelegated.
(xx) Carry out the functions and exercise the authority vested in
the Secretary by 33 U.S.C. 1226 to prevent or respond to acts of
terrorism and 46 U.S.C. app. 1803, subsections (a) and (b), to assess
the state of security standards at foreign ports. This authority may be
redelegated.
(yy) Carry out the functions and exercise the authority vested in
the Secretary by 42 U.S.C. 7511b(f), concerning tank vessel emissions,
to promulgate safety regulations, to consult with the Administrator of
the Environmental Protection Agency concerning emission standards, and
to enforce compliance of emission standards as determined by such
consultation. This authority may be redelegated.
(zz) Carry out the functions and exercise the authority vested in
the Secretary by 46 U.S. Code Chapter 47 (abandonment of barges) and
Sec. 12301(b) (numbering of undocumented barges), as enacted by the
Oceans Act of 1992, Title V, section 5301 et seq., Pub. L. No. 102-587,
106 Stat. 5081. This authority may be redelegated.
(aaa) Establish the promotion zone for rear admiral (lower half),
provided all captains eligible for consideration under the provisions of
section 257(a)(5), Title 14, U.S. Code, are placed in the zone.
(bbb) Remove an officer from active duty under section 326, Title
14, U.S. Code.
(Sec. 9(e), Department of Transportation Act, 49 U.S.C. 1657(e); 49 CFR
1.57(l); 49 U.S.C. 322)
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975]
Editorial Note: For Federal Register citations affecting Sec. 1.46,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
[[Page 24]]
Sec. 1.47 Delegations to Federal Aviation Administrator.
The Federal Aviation Administrator is delegated authority to:
(a) Carry out the powers and duties transferred to the Secretary of
Transportation by, or subsequently vested in the Secretary by virtue of,
section 6(c)(1) of the Department of Transportation Act (49 U.S.C.
1655(c)(1)), including those pertaining to aviation safety (except those
related to transportation, packaging, marking, or description of
hazardous materials) and vested in the Secretary by section 308(b) of
title 49 U.S.C. and sections 306-309, 312-314, 1101, 1105, and 1111 and
titles VI, VII, IX (excluding section 902(h)), and XII of the Federal
Aviation Act of 1958, as amended.
(b) Carry out title XIII of the Federal Aviation Act of 1958, as
amended (72 Stat. 800; 49 U.S.C. 1531 et seq.), relating to aviation
insurance.
(c) Carry out the functions vested in the Secretary by the Act of
September 7, 1957 (71 Stat. 629; 49 U.S.C. 1324 note), as amended by
section 6(a)(3)(B) of the Department of Transportation Act, relating to
the guarantee of aircraft purchase loans, and those functions which
relate to the issuance of obligations to finance the expenses of such
guarantees.
(d) Administer Executive Orders 11419 and 11322 relating to
prohibited aviation operations and the prohibited carriage of
commodities and products to and from Southern Rhodesia. Carry out the
functions vested in the Secretary by Executive Order 12183.
(e) Provide certain facilities and services to FAA employees and
their dependents at remote locations (49 U.S.C. 1659).
(f) Carry out the functions vested in the Secretary by:
(1) The Airport and Airway Development Act of 1970, as amended (49
U.S.C. 1701 et seq.), except sections 3 and 4 (49 U.S.C. 1702, 1703).
(2) Sections 208 and 209 of the Airport and Airway Revenue Act of
1970, as amended (49 U.S.C. 1742, 1742 note); and
(3) Sections 21, 22, 23(b), 24, and 25 of the Airport and Airway
Development Act Amendments of 1976 (49 U.S.C. 1346(a), 1348 note, 1713
note, 1356a, 1704).
(g) Carry out the functions vested in the Secretary by part B of
title II of the Clean Air Act, as amended (84 Stat. 1703), and by 40 CFR
part 87 as it relates to exemptions from aircraft air pollution
standards.
(h) Carry out the functions of the Secretary under section 208 of
the Appalachian Regional Development Act of 1965 (85 Stat. 168; 40
U.S.C. App. 208).
(i) Carry out the functions vested in the Secretary by section
902(h)(2) of the Federal Aviation Act of 1958, as amended, as it relates
to enforcement of hazardous materials regulations as they apply to the
transportation or shipment of such materials by air.
(j) Carry out the functions vested in the Secretary by 49 U.S.C.
1807 as it relates to the establishment of procedures for monitoring and
enforcing provisions of regulations with respect to the transportation
of radioactive materials on passenger-carrying aircraft.
(k) Carry out the functions vested in the Secretary by 49 App.
U.S.C. 1808 (a), (b), and (c), 1809 and 1810 relating to investigations,
records, inspections, penalties and specific relief so far as they apply
to the transportation or shipment of hazardous materials by air,
including the manufacture, fabrication, marking, maintenance,
reconditioning, repair, or test of containers which are represented,
marked, certified, or sold for use in the bulk transportation of
hazardous materials by air.
(l) Serve, or designate a representative to serve, as Vice Chairman
and alternate Department of Transportation member of the Interagency
Group on International Aviation (IGIA) pursuant to interagency agreement
of December 9, 1960, and Executive Order 11382, and provide for the
administrative operation of the IGIA Secretariat.
(m) Carry out the functions vested in the Secretary by sections 4(a)
and 5(c) of Executive Order 12316 of August 14, 1981 (46 FR 42237, Aug.
20, 1981) (delegating sections 107(c)(1)(c) and 108(b), respectively, of
the Comprehensive Environmental Response, Compensation, and Liability
Act of 1981, Pub. L. 96-510), insofar as they relate to aircraft.
(n) Carry out the functions vested in the Secretary by section 3(d)
of the Act to Prevent Pollution from Ships (33 U.S.C. 1902(d)) as it
relates to ships
[[Page 25]]
owned or operated by the Federal Aviation Administration when engaged in
noncommercial service.
(o) [Reserved]
(p) Carry out the functions vested in the Secretary by:
(1) Section 553(b) of Public Law 99-83 (99 Stat. 226), which relates
to the authority of Federal Air Marshals to carry firearms and make
arrests, in coordination with the General Counsel; and
(2) The following subsections of section 1115 of the Federal
Aviation Act of 1958, as amended, which relates to the security of
foreign airports: Subsection 1115(a), in coordination with the General
Counsel and the Assistant Secretary for Aviation and International
Affairs; subsection 1115(b), in coordination with the Assistant
Secretary for Aviation and International Affairs; and subsection
1115(e)(2)(A)(ii), in coordination with the General Counsel and the
Assistant Secretary for Aviation and International Affairs.
(q) Carry out all of the functions vested in the Secretary under
section 404(d) of the Federal Aviation Act of 1958 (49 U.S.C. 1374(d)),
as amended by section 328(a) of the Department of Transportation and
Related Agencies Appropriations Act of 1988 (Pub. L. 100-202).
(r) Carry out the functions vested in the Secretary by the Airport
Safety and Capacity Expansion Act of 1990, title IX, subtitle B of the
Omnibus Budget Reconciliation Act of 1990, Public Law 101-508 (except
those functions vested in the Secretary by sections 9113, 9125, 9127 and
9130).
(s) Carry out functions vested in the Secretary by Airport Noise and
Capacity Act of 1990, title IX, subtitle D of the Omnibus Budget
Reconciliation Act of 1990, Public Law 101-508.
(t) Carry out the functions vested in the Secretary by sections 321
and 410 of the Federal Aviation Act, as amended by the Aviation Security
Improvement Act of 1990, Public Law 101-604, November 16, 1990.
(u) Carry out the functions assigned to the Secretary by Executive
Order 12465 (February 24, 1984) (3 CFR, 1984 Comp., p. 163) relating to
commercial expendable launch vehicle activities.
(v) Carry out the functions vested in the Secretary by 49 U.S.C.
Subtitle IX.
(w) Carry out the functions vested in the Secretary by the National
Aeronautics and Space Administration Authorization Act, Fiscal Year 1993
(Pub. L. 102-588, 106 Stat 5119, November 4, 1992).
(Secs. 3(e), 6(c), and 9(e), Department of Transportation Act (49 U.S.C.
1652(e), 1655(c), and 1657(e)); 49 U.S.C. 322; 49 CFR 1.57(l))
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975]
Editorial Note: For Federal Register citations affecting Sec. 1.47,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Sec. 1.48 Delegations to Federal Highway Administrator.
The Federal Highway Administrator is delegated authority to:
(a) Investigate and report on the safety compliance records of
applicants seeking operating authority, or approval of transactions
involving transfer of operating authority, from the Interstate Commerce
Commission, and to intervene and present evidence concerning applicants'
fitness in Commission proceedings under 49 U.S.C. 307, so far as it
relates to motor carriers.
(b) Administer the following sections of title 23, U.S.C.:
(1)(i) 101(a); and
(ii) 101(b), (c), (d), and (e), except as they involve mass
transportation projects authorized by sections 103(e)(4), 142(a)(2), or
142(c);
(2) 103, except as it involves the substitution of non-highway
public mass transit projects authorized by section (e)(4);
(3) 104, including the apportionment of funds for Federal-aid
highways once Congress approves estimates submitted by the Secretary;
(4) 105, except as subsections (a) and (g) involve mass
transportation projects authorized by sections 103(e)(4), 142(a)(2), or
142(c);
(5) 106, except subsections (a), (c), and (d) as they involve mass
transportation projects authorized by sections 103(e)(4), 142(a)(2), or
142(c);
(6) 107;
(7) 108, except as it involves mass transportation projects
authorized by sections 103(e)(4), 142(a)(2), or 142(c);
[[Page 26]]
(8) 109, except subsections (a), (g), and (h) as they involve mass
transportation projects authorized by sections 103(e) (4), 142(a)(2), or
142(c);
(9) 110, except as it involves mass transportation projects
authorized by sections 103(e)(4), 142(a)(2), or 142(c);
(10) 111;
(11) 112, 113, 114, except as they involve transportation projects
authorized by sections 103(e)(4), 142(a)(2), or 142(c);
(12) 115;
(13) 116, except subsections (a) and (c) as they involve mass
transportation projects authorized by sections 103(e)(4), 142(a)(2), or
142(c);
(14) 117, except as it involves mass transportation projects
authorized by sections 103(e)(4), 142(a)(2), or 142(c);
(15) 118, 119, 120;
(16) 121 and 122, except as they involve mass transportation
projects authorized by sections 103(e)(4), 142(a)(2), or 142(c);
(17) 123;
(18) 124, except as it involves mass transportation projects
authorized by sections 103(e)(4), 142(a)(2), or 142(c);
(19) 125, 126, and 127;
(20) 128, except as it involves mass transportation projects
authorized by sections 103(e)(4), 142(a)(2), or 142(c);
(21) 129, 130, 131, 132, 134, 135, 136, 137, 138, and 139;
(22) 140, except paragraph (a) of this section, as it involved mass
transportation projects authorized by sections 103(e)(4), 142(a)(2), or
142(c);
(23) 141, with the concurrence of the National Highway Traffic
Safety Administrator as it relates to certification of the enforcement
of speed limits;
(24) 142, except as it involves mass transportation projects
authorized by subsections (a)(2) and (c) and by 103(e)(4);
(25) 143 and 144;
(26) 145, except as it involves mass transportation projects
authorized by sections 103(e)(4), 142(a)(2), or 142(c);
(27) 146 through 152 and 155 through 157, inclusive;
(28) 154 and 158 each with the concurrence of the National Highway
Traffic Safety Administrator;
(29) 201 through 205, 210, 212, 214 through 218, (Chapter 2);
(30) 301, 302, and 303;
(31) 304, 305, 306, except as they involve mass transportation
projects authorized by sections 103(e)(4), 142(a)(2), or 142(c);
(32) 307 through 314 inclusive;
(33) 315 and 317, except as they involve mass transportation
projects authorized by sections 103(e)(4), 142(a)(2), or 142(c);
(34) 318 through 321, inclusive; and
(35) 323 and 324, except as they involve mass transportation
projects authorized by sections 103(e)(4), 142(a)(2), or 142(c).
(c) Administer the following laws relating generally to highways:
(1) Sections 105, 107(c) through (e), 123(a) and (b), 124(c), 126(d)
through (g), 138(c), 140, 142 through 145, 147 through 154, 167, and
171, and title IV, as amended (as it relates to matters within the
primary responsibility of the Federal Highway Administrator), of the
Surface Transportation Assistance Act of 1978, Public Law 95-599, 92
Stat. 2689; and sections 502-504, title V, of the Highway Revenue Act of
1978.
(2) Sections 103, 104, 111(b), 128(b), 131, 135, 136, 141, 147, 149,
154, 158 through 161, 163, 203, 206, 401, and 402 of the Federal-Aid
Highway Act of 1973, as amended (Pub. L. 93-87, 87 Stat. 250; Pub. L.
93-643, 88 Stat. 2281).
(3) The Federal-Aid Highway Act of 1970, as amended (except section
118) (84 Stat. 1713).
(4) The Federal-Aid Highway Act of 1968, as amended (82 Stat. 815);
(5) The Federal-Aid Highway Act of 1966, as amended (80 Stat. 766);
(6) The Federal-Aid Highway Act of 1962, as amended (76 Stat. 1145,
23 U.S.C. 307 note);
(7) The Federal-Aid Highway Act of 1956, as amended (70 Stat. 374);
(8) The Federal-Aid Highway Act of 1954, as amended (68 Stat. 70);
(9) The Act of September 26, 1961, as amended (75 Stat. 670);
(10) The Highway Revenue Act of 1956, as amended (70 Stat. 387, 23
U.S.C. 120 note);
(11) The Highway Beautification Act of 1965, as amended (79 Stat.
1028, 23 U.S.C. 131 et seq., notes);
(12) The Alaska Omnibus Act, as amended (73 Stat. 141, 48 U.S.C. 21
note prec.);
[[Page 27]]
(13) The Joint Resolution of August 28, 1965, as amended (79 Stat.
578, 23 U.S.C. 101 et seq., notes);
(14) Section 502(c) of the General Bridge Act of 1946, as amended
(60 Stat. 847, 33 U.S.C. 525(c));
(15) The Act of April 27, 1962 (76 Stat. 59);
(16) Reorganization Plan No. 7 of 1949 (63 Stat. 1070); and
(17) Sections 102(b) (except subparagraph (2)) and (c); 105 (b)(1)
and (c); 141; 146; 147; and 152 of the Federal-Aid Highway Act of 1976
(Pub. L. 94-280; 90 Stat. 425).
(18) The Federal-Aid Highway Act of 1982 (Pub. L. 97-327), except
section 6 as it relates to matters within the primary responsibility of
the Urban Mass Transportation Administrator.
(19) The Surface Transportation Assistance Act of 1982, Public Law
97-424, as amended,
(i) Except sections 165 and 531 as they relate to matters within the
primary responsibility of the Urban Mass Transportation Administrator;
105(f), 413; 414(b)(1) and (2); 421, 426, and title III; and
(ii) Section 414(b)(1), with the concurrence of the National Highway
Traffic Safety Administrator.
(20) Sections 103(e), 105(a) through (g), 106(a), and (b), 110(b),
114(d), 117(f), 120(c) and (d), 123(g) and (i), 133(f), 134, 136, 137,
139 through 145, 146(b), 147(c), 149(a) through (f), (h), (i), (k), 151
through 157, 164, and 208 of the Surface Transportation and Uniform
Relocation Assistance Act of 1987 (Pub. L. 100-17, 101 Stat. 132).
(d) [Reserved]
(e) Carry out 49 U.S.C. 3103 relating generally to investigation of
the need for regulation of sizes, weights, and combinations of motor
vehicles and qualifications and maximum hours of service of employees of
motor carriers and motor private carriers.
(f) Carry out 49 U.S.C. 3102 relating generally to qualifications
and maximum hours of service of employees and safety of operation and
equipment of motor carriers, motor private carriers and motor carriers
of migrant workers.
(g) Carry out 49 U.S.C. 503 and 3104 relating generally to service
of process, designation of agents to receive service of process, and
identification of interstate motor vehicles so far as they pertain to
motor private carriers of property and motor carriers of migrant workers
(except motor contract carriers).
(h)-(i) [Reserved]
(j) Carry out the functions of the Secretary under the Appalachian
Regional Development Act of 1965 (79 Stat. 5; 40 U.S.C. App.) except
section 208.
(k) Initiate proceedings as a complainant under 49 U.S.C. 10925 to
revoke, suspend or amend the certificates, permits or licenses of a
motor carrier.
(l) Carry out the Act of September 21, 1966, Public Law 89-599,
relating to certain approvals concerned with a compact between the
States of Missouri and Kansas.
(m) Carry out the law relating to the Chamizal border highway (80
Stat. 1477).
(n) Carry out the Highway Safety Act of 1966, as amended (80 Stat.
731) and chapter 4 of title 23 U.S.C. as amended by section 207 of the
Surface Transportation Assistance Act of 1978 for highway safety
programs, research and development relating to highway design,
construction and maintenance, traffic control devices, identification
and surveillance of accident locations, and highway-related aspects of
pedestrian and bicycle safety.
(o) Exercise the authority vested in the Secretary by section 204(b)
of the Federal Railroad Safety Act of 1970 (84 Stat. 972, 45 U.S.C.
433(b)) with respect to the laws administered by the Federal Highway
Administrator pertaining to highway safety and highway construction.
(p) Carry out the functions vested in the Secretary provided by 42
U.S.C. 4917 relating to procedures for the inspection, surveillance and
measurement of commercial motor vehicles for compliance with interstate
motor carrier noise emission standards and related enforcement
activities including the promulgation of necessary regulations.
(q) Carry out the functions vested in the Secretary by section 5 (as
it relates to bridges, other than railroad bridges, not over navigable
waters), and section 8(a) (as it relates to all bridges other
[[Page 28]]
than railroad bridges) of the International Bridge Act of 1972 (Pub. L.
92-434, 86 Stat. 731).
(r) Carry out the functions vested in the Secretary by the following
sections of the Urban Mass Transportation Act of 1964 as amended (78
Stat. 302, 49 U.S.C. 1601 et seq.):
(1) Sections 3(a)(3), 3(e)(1), 5(g)(1), and 8 as they relate to
urban planning (49 U.S.C. 1602 (a)(3) and (e)(1), 1603(a), and
1604(g)(1); and 1604(l)).
(2) Section 12(c)(11) relating to approval of boundaries of
urbanized areas (49 U.S.C. 1608(c)(11));
(3) Section 18 as it relates to the formula grant program for non-
urbanized areas in the Commonwealth of Puerto Rico.
(s) Exercise the authority vested in the Secretary by sections 101,
118, 120(b), 123 and 124 of the Federal-Aid Highway Amendments of 1974
(Pub. L. 93-643, January 4, 1975, 88 Stat. 2281).
(t) [Reserved]
(u)(1) Carry out the functions vested in the Secretary by 49 App.
U.S.C. 1808 (a), (b), and (c), 1809, and 1810 relating to
investigations, records, inspections, penalties, and specific relief so
far as they apply to the transportation or shipment of hazardous
materials by highway, including the manufacture, fabrication, marking,
maintenance, reconditioning, repair or test of containers which are
represented, marked, certified, or sold for use in the bulk
transportation of hazardous materials by highway.
(2) Carry out the functions vested in the Secretary by 49 App.
U.S.C. 1804 (b) and (c); 1805(d), except paragraph (3) (49 App. U.S.C.
1805(d)(3)); 1811 relating to highway routing, except for pending
applications for inconsistency rulings and nonpreemption determinations;
1813(d); and 1819.
(v) Carry out the functions vested in the Secretary by the
Commercial Motor Vehicle Safety Act of 1986, title XII of Public Law 99-
570, 100 Stat. 3207-170.
(w) Carry out the functions vested in the Secretary by section 30 of
the Motor Carrier Act of 1980 (Pub. L. 96-296, 94 Stat. 820), as amended
by section 108(b)(5) of Public Law 96-510, 94 Stat. 2767; section 406 of
Public Law 97-424, 96 Stat. 2158; and section 222 of Public Law 98-554,
98 Stat. 2846 (49 U.S.C. 10927 note).
(x) Carry out the functions vested in the Secretary by sections 4(a)
and (5)(c) of Executive Order 12316 of August 14, 1981 (46 FR 42237,
August 20, 1981) (delegating sections 107(c)(1)(C) and 108(b),
respectively, of the Comprehensive Environmental Response, Compensation,
and Liability Act of 1980, Public Law 96-510, 94 Stat. 2781), insofar as
they relate to motor carriers.
(y) Carry out the functions vested in the Secretary by section 118
of the National Visitor Center Facilities Act of 1968 (Pub. L. 90-264,
82 Stat. 43), as added by the Union Station Redevelopment Act of 1981
(Pub. L. 97-125; 95 Stat. 1672), with respect to the completion of the
parking facility and associated ramps at Union Station in Washington, DC
(40 U.S.C. 818).
(z) Carry out the functions vested in the Secretary by sections 18
and 25(c) of the Bus Regulatory Reform Act of 1982 (Pub. L. 97-261, 96
Stat. 1102), as amended by section 224 of Public Law 98-554, 98 Stat.
2847 (49 U.S.C. 10927 note).
(aa) Carry out the functions vested in the Secretary by the Tandem
Truck and Motor Carrier Safety Acts of 1984 (Pub. L. 98-554), except
section 209.
(bb) Carry out the functions vested in the Secretary by Public Law
98-229, 98 Stat. 55, insofar as it relates to apportioning certain funds
for construction of the Interstate Highway System in Fiscal Year 1985,
apportioning certain funds for Interstate substitute highway projects,
and increasing amounts available for emergency highway relief.
(cc) Prescribe regulations, as necessary, at parts 24 and 25 of this
title, to implement Public Law 91-646, 84 Stat. 1894, and any amendments
thereto, as appropriate, in coordination with the Assistant Secretary
for Transportation Policy, and carry out all other functions vested in
the Secretary by the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, Public Law 91-646, 84 Stat. 1894, and
any amendments thereto.
(dd)-(ee) [Reserved]
(ff) Carry out the functions vested in the Secretary of
Transportation by section 114 of the ``Act Making Continuing
Appropriations for Fiscal Year 1987 and
[[Page 29]]
for Other Purposes,'' Public Law 99-591, October 30, 1986, relating to
construction of Interstate Highway H-3 in Hawaii.
(gg) Carry out all of the functions vested in the Secretary under
section 324 of the Fiscal Year 1986 Department of Transportation
Appropriations Act (Pub. L. 99-190, 99 Stat. 1288), notwithstanding the
reservation of authority under Sec. 1.44(j) of this part.
(hh) Carry out the functions vested in the Secretary by sections 9,
10, 11, 12, 13, 15(b), 15(c), 15(d), and 15(e) of the Sanitary Food
Transportation Act of 1990 (Pub. L. 101-500; 104 Stat. 1213), with
respect to transportation by highway.
(ii) Carry out the functions vested in the Secretary by sections 16,
23, 24, and 27 of the Hazardous Materials Transportation Uniform Safety
Act of 1990 (Pub. L. 101-615; 104 Stat. 3244 (49 App. U.S.C. 1813 note;
49 U.S.C. 10927 note; 49 App. U.S.C. 2509).
(jj) Carry out the functions and exercise the authority delegated to
the Secretary in section 2(d)(2) of Executive Order 12777 (3 CFR, 1991
Comp.; 56 FR 54757), with respect to highway transportation, relating to
the approval of means to ensure the availability of private personnel
and equipment to remove, to the maximum extent practicable, a worst case
discharge, the review and approval of response plans, and the
authorization of motor carriers, subject to the Federal Water Pollution
Control Act (33 U.S.C. 1321), to operate without approved response
plans, except as delegated in Sec. 1.46(m).
Editorial Note: The following paragraph (jj) was added to Sec. 1.48
at 58 FR 503, Jan. 6, 1993 and will be correctly designated by a
document published in the Federal Register at a later date.
(jj) Carry out the functions vested in the Secretary of
Transportation by section 601 of the Pipeline Safety Act of 1992, Public
Law 102-508, relating to construction of the Page Avenue Extension
Project in Missouri.
(49 U.S.C. 322, 49 CFR 1.57(l))
[Amdt. 1-157, 45 FR 83405, Dec. 18, 1980]
Editorial Note: For Federal Register citations affecting Sec. 1.48,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Sec. 1.49 Delegations to Federal Railroad Administrator.
The Federal Railroad Administrator is delegated authority to:
(a) Investigate and report on safety compliance records of
applicants seeking railroad operating authority from the Interstate
Commerce Commission, and to intervene and present evidence concerning
applicants' fitness in Commission proceedings under 49 U.S.C. 1653(e),
relating to railroads.
(b) Carry out the Act of September 30, 1965, as amended (79 Stat.
893, 49 U.S.C. 1631 et seq.), relating generally to high speed ground
transportation, except issuance of reports required by section 13(c) (49
U.S.C. 1643(c)).
(c) Carry out the following laws relating generally to safety
appliances and equipment on railroad engines and cars, and protection of
employees and travelers:
(1) The Act of March 2, 1893, as amended (27 Stat. 531, 45 U.S.C. 1
et seq.);
(2) The Act of March 2, 1903, as amended (32 Stat. 943, 45 U.S.C. 8
et seq.);
(3) The Act of April 14, 1910, as amended (36 Stat. 298, 45 U.S.C.
11 et seq.);
(4) The Act of May 30, 1908, as amended (35 Stat. 476, 45 U.S.C. 17
et seq.);
(5) The Act of February 17, 1911, as amended (36 Stat. 913, 45
U.S.C. 22 et seq.);
(6) The Act of March 4, 1915, as amended (38 Stat. 1192, 45 U.S.C.
30);
(7) Reorganization Plan No. 3 of 1965 (79 Stat. 1320, 45 U.S.C. 22
note);
(8) Joint Resolution of June 30, 1906, as amended (34 Stat. 838, 45
U.S.C. 35);
(9) The Act of May 27, 1908, as amended (35 Stat. 325, 45 U.S.C. 36
et seq.);
(10) The Act of March 4, 1909, as amended (35 Stat. 965, 45 U.S.C.
37); and
(11) The Act of May 6, 1910, as amended (36 Stat. 350, 45 U.S.C. 38
et seq.).
(d) Carry out the Act of March 4, 1907, as amended (34 Stat. 1415,
45 U.S.C. 61 et seq.), relating generally to hours of service of
railroad employees.
(e) Carry out the functions vested in the Secretary by section 5 of
the International Bridge Act of 1972 (Pub. L. 92-434) as it relates to
railroad bridges not over navigable waterways.
[[Page 30]]
(f) Carry out section 25 of the Interstate Commerce Act, as amended
(49 U.S.C. 26), relating generally to railroad safety appliances,
methods, and systems.
(g) Exercise the administrative powers under the Interstate Commerce
Act with respect to powers and duties pertaining to railroad safety
transferred to the Secretary (49 U.S.C. 1655(f)).
(h) Operate and administer the Alaska Railroad under the Act of
March 12, 1914, as amended (38 Stat. 305), and Executive Order 11107 (28
FR 4225 (1963)).
(i) Make individual and general changes in freight rates and
passenger fares for the Alaska Railroad, without power to redelegate
authority for general changes in freight rates and passenger fares.
(j) Promote and undertake research and development relating to rail
matters generally (49 U.S.C. 1653(a), 1657(e)(1), 1657(n)(1), and
1657(q)(1)).
(k) Carry out the functions vested in the Secretary by subtitle B of
the National Visitor Center Facilities Act of 1968, as added by the
Union Station Redevelopment Act of 1981 (Pub. L. 97-125; 95 Stat. 1667)
except section 114(e) and such parts of section 118 as provided for the
completion of the parking facility and associated ramps at Union Station
in Washington, DC.
(l) Exercise the authority vested in the Secretary by the Emergency
Rail Services Act of 1970 (Pub. L. 91-663) except the authority to make
findings required by section 3(a) of that Act and the authority to sign
guarantees of certificates issued by trustees.
(m) Carry out the functions vested in the Secretary by the Federal
Railroad Safety Act of 1970 (title II of Pub. L. 91-458); 84 Stat. 971,
45 U.S.C. 421 et. seq.), except section 204(b) (84 Stat. 972, 45 U.S.C.
433(b)) with respect to highway, traffic, and motor vehicle safety and
highway construction.
(n) Carry out the functions vested in the Secretary by the Emergency
Rail Facilities Restoration Act of 1972 (Pub. L. 92-591).
(o) Carry out the functions vested in the Secretary by subsection
(b) (except as it relates to conducting consultations with the
Administrator of the Environmental Protection Agency) and (c) of section
17 of the Noise Control Act of 1972 (Pub. L. 92-574).
(p) Carry out the functions vested in the Secretary by sections
201(i)(3); 202(b)(7); 203, except authority to issue subpoenas; 210;
212; 213; 215; 402; 403; and 601 of the Regional Rail Reorganization Act
of 1973 (Pub. L. 93-236) as amended by the Rail Transportation
Improvement Act (Pub. L. 94-555).
(q) Carry out the functions vested in the Secretary by subsections 4
(h) and (i) of the Department of Transportation Act, as amended (49
U.S.C. 1653(h), (i)).
(r) [Reserved]
(s)(1) Carry out the functions vested in the Secretary by 49 App.
U.S.C. 1808 (a), (b), and (c), 1809, and 1810 relating to
investigations, records, inspections, penalties, and specific relief so
far as they apply to the transportation or shipment of hazardous
materials by railroad, including the manufacture, fabrication, marking,
maintenance, reconditioning, repair or test of containers which are
represented, marked, certified, or sold for use in the bulk
transportation of hazardous materials by railroad.
(2) Carry out the functions vested in the Secretary by 49 App.
U.S.C. 1813 (a) and (b); and 1817.
(t) Carry out the functions vested in the Secretary by sections
204(c); except authority to issue subpoenas; 402; 403; 502; 503; 504;
505; 506, except (c); 507; 508; 511; 512; 513; 515; 517; 606; 610; 703;
704, except (c)(1); and 705; 707; 901; 905, as applicable, of the
Railroad Revitalization and Regulatory Reform Act of 1976, as amended,
section 5 of the Department of Transportation Act (49 U.S.C. 1654),
except authority to issue subpoenas.
(u) Carry out functions vested in the Secretary by sections 17(a)
and (b) (as they relate to consultations with the Administrator of the
Environmental Protection Agency) of the Noise Control Act of 1972 (Pub.
L. 92-574, 49 U.S.C. 1431).
(v) Carry out the functions vested in the Secretary by the Rock
Island Railroad Transition and Employee Assistance Act (title I of Pub.
L. 96-254) and by section 18 of the Milwaukee Railroad Restructuring Act
(49 U.S.C. 916).
[[Page 31]]
(w) Carry out the functions vested in the Secretary by section 305
of the Regional Rail Reorganization Act of 1973, as amended (45 U.S.C.
745).
(x) Carry out the functions vested in the Secretary by sections 4(a)
and 5(c) of Executive Order 12316 of August 14, 1981 (46 FR 42237, Aug.
20, 1981) (delegating sections 107(c)(1)(c) and 108(b), respectively, of
the Comprehensive Environmental Response, Compensation, and Liability
Act of 1981, Pub. L. 96-510), insofar as they relate to rolling stock.
(y) Carry out the functions vested in the Secretary by the Northeast
Rail Service Act of 1981 (Pub. L. 97-35).
(z) Carry out the functions vested in the Secretary by section 3 of
the Bridge Act of 1906, as amended (33 U.S.C. 493), relating to disputes
over the terms and compensation for use of railroad bridges built under
the Act.
(aa) Carry out the functions vested in the Secretary by titles II
through VII of the Rail Safety and Service Improvement Act of 1982 (Pub.
L. 97-468), which relates to rail safety, rail finances, and the
transfer of The Alaska Railroad to the State of Alaska.
(bb) Carry out the functions vested in the Secretary by section 4031
of the Budget Reconciliation Act of 1986 (Pub. L. 99-509), which relates
to the abolition of the United States Railway Association, and the
execution of the functions and duties of the Association transferred to
the Secretary, effective April 1, 1987.
(cc) Carry out the functions vested in the Secretary by section 18
(g) and (h) of the Rail Safety Improvement Act of 1988 (Pub. L. 100-
342).
(dd) Carry out the function vested in the Secretary by section 1163
of the Bankruptcy Code (11 U.S.C. 1163), which relates to the nomination
of trustee for rail carriers in reorganization, with the concurrence of
the Office of the General Counsel.
(ee) Carry out the functions vested in the Secretary by sections 9,
10, 11, 12, and 13 of the Sanitary Food Transportation Act of 1990 (Pub.
L. 101-500; 104 Stat. 1213), with respect to transportation by railroad.
(ff) Exercise the authority vested in the Secretary by the Crime
Control Act of 1990 (Pub. L. 101-647) as it relates to a railroad police
officer's authority to enforce the laws of any jurisdiction in which the
police officer's rail carrier employer owns property.
(gg) Carry out the functions vested in the Secretary by sections 16
and 21 of the Hazardous Materials Transportation Uniform Safety Act of
1990 (Pub. L. 101-615; 104 Stat. 3244 (49 App. U.S.C. 1813 note and 1817
note)).
(hh) Exercise the authority vested in the Secretary by Section 601
(d) and (e) of the National and Community Service Act of 1990 (45 U.S.C.
546 note) as it relates to the discharge of human waste from railroad
passenger cars.
(ii) Carry out the functions and exercise the authority delegated to
the Secretary in section 2(d)(2) of Executive Order 12777 (3 CFR, 1991
Comp.; 56 FR 54757), with respect to rail transportation, relating to
the approval of means to ensure the availability of private personnel
and equipment to remove, to the maximum extent practicable, a worst case
discharge, the review and approval of response plans, and the
authorization of railroads, subject to the Federal Water Pollution
Control Act (33 U.S.C. 1321), to operate without approved response
plans, except as delegated in Sec. 1.46(m).
(jj) Exercise the authority vested in the Secretary by the Swift
Rail Development Act of 1994, being Title I--High-Speed Rail of Public
Law 103-440 (108 Stat. 4615), as it relates to the provision of
financial assistance for high-speed rail corridor planning and
technology improvements, the promulgation of necessary safety
regulations, and the redemption of outstanding obligations and
liabilities with respect to the Columbus and Greenville Railway under
Sections 505 and 511 of the Railroad Revitalization and Regulatory
Reform Act of 1976 (45 U.S.C. 825 and 831, respectively).
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975]
Editorial Note: For Federal Register citations affecting Sec. 1.49,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Sec. 1.50 Delegation to the National Highway Traffic Safety Administrator.
The National Highway Traffic Safety Administrator is delegated
authority to:
[[Page 32]]
(a) Carry out the National Traffic and Motor Vehicle Safety Act of
1966, as amended (15 U.S.C. 1381 et seq.).
(b) Carry out the Highway Safety Act of 1966, as amended (23 U.S.C.
401 et seq.), except for highway safety programs, research and
development relating to highway design, construction and maintenance,
traffic control devices, identification and surveillance of accident
locations, and highway-related aspects of pedestrian and bicycle safety.
(c) Exercise the authority vested in the Secretary by section 210(2)
of the Clean Air Act, as amended (42 U.S.C. 7544(2)).
(d) Exercise the authority vested in the Secretary by section 204(b)
of the Federal Railroad Safety Act of 1970 (45 U.S.C. 433(b)) with
respect to laws administered by the National Highway Traffic Safety
Administrator pertaining to highway, traffic and motor vehicle safety.
(e) Carry out the Act of July 14, 1960, as amended (23 U.S.C. 313
note) and the National Driver Register Act of 1982 (23 U.S.C. 401 note).
(f) Carry out the functions vested in the Secretary by the Motor
Vehicle Information and Cost Savings Act of 1972, as amended (15 U.S.C.
1901 et seq.), except section 512.
(g) Administer the following sections of title 23, United States
Code, with the concurrence of the Federal Highway Administrator:
(1) 141, as it relates to certification of the enforcement of speed
limits;
(2) 154 (a), (b), (d), (e), (f), (g) and (h); and
(3) 158.
(h) Carry out the consultation functions vested in the Secretary by
Executive Order 11912, as amended.
(i) Carry out section 209 of the Surface Transportation Assistance
Act of 1978, as amended (23 U.S.C. 401 note) and section 165 of the
Surface Transportation Assistance Act of 1982, as amended (23 U.S.C. 101
note), with respect to matters within the primary responsibility of the
National Highway Traffic Safety Administrator.
(j) Administer section 414(b)(1) of the Surface Transportation
Assistance Act of 1982, as amended (49 U.S.C. 2314) with the concurrence
of the Federal Highway Administrator, and section 414(b)(2).
(k) Carry out section 2(c) of the Truth in Mileage Act of 1986 (15
U.S.C. 1988 note).
(l) Carry out section 204(b) of the Surface Transportation and
Uniform Relocation Assistance Act of 1987, Public Law 100-17 (101 Stat.
132) with the coordination of the Federal Highway Administrator.
(m) Carry out the functions vested in the Secretary by section 15(f)
of the Sanitary Food Transportation Act of 1990 (Pub. L. 101-500; 104
Stat. 1213).
[Amdt. 1-226, 53 FR 23122, June 20, 1988, as amended by Amdt. 1-239, 56
FR 6810, Feb. 20, 1991]
Sec. 1.51 Delegations to Urban Mass Transportation Administrator.
The Urban Mass Transportation Administrator is delegated authority
to exercise the functions vested in the Secretary by:
(a) The Urban Mass Transportation Act of 1964, as amended (78 Stat.
302, 49 U.S.C. 1601 et seq.), except section 18 as it relates to the
formula grant program for non-urbanized areas in the Commonwealth of
Puerto Rico and section 22, relating to intercity bus service.
(b) Section 1 of Reorganization Plan No. 2 of 1968 (84 Stat. 1369).
(c) Section 10 of the Urban Mass Transportation Assistance Act of
1970, Public Law 91-453, 84 Stat. 962, 968).
(d) Sections 3 and 9 through 15 of the National Capital
Transportation Assistance Act of 1969, as amended (D.C. Code, Sec. 1-
2441 et seq).
(e) The following sections of title 23, United States Code:
(1) 103 as it involves the withdrawal of Interstate routes and the
substitution of non-highway public mass transit projects authorized by
subsection (e)(4);
(2) 101(a) as it involves approval of boundaries of urban and
urbanized areas, 104(f)(4), 105(d), 106(b) as it involves the Federal-
aid urban system, and 134; and
(3) 101 (b), (c), (d), and (e); 105 (a) and (g); 106 (a), (c) and
(d); 108; 109 (a), (g), and (h); 110; 112; 113; 114; 116 (a) and (c);
117; 121; 122; 124; 128; 140(a); 142; and 145 as they involve mass
transportation
[[Page 33]]
projects authorized by sections 103(e)(4), 142(a)(2), or 142(c).
(f) Sections 140, 146, 147, 164 and 165 of the Federal-Aid Highway
Act of 1973, as amended (Pub. L. 93-87, title I, 87 Stat. 250; Pub. L.
93-643, 88 Stat. 2281).
(g) Section 813 of the Housing and Community Development Act of 1974
(Pub. L. 93-383).
(h) Section 107 of the National Mass Transportation Assistance Act
of 1974 (Pub. L. 93-503, November 26, 1974).
(i) Title II of the National Mass Transportation Assistance Act of
1974 (Pub. L. 93-503, November 26, 1974), except sections 204 and 205.
(j) Sections 804, insofar as it relates to 45 U.S.C. 744(e)(5); and
805, as applicable, of the Railroad Revitalization and Regulatory Reform
Act of 1976 (Pub. L. 94-210).
(k) Section 148 of the Federal-Aid Highway Act of 1976 (Pub. L. 94-
280, 90 Stat. 425).
(l) The following sections of the Surface Transportation Assistance
Act of 1978 (Pub. L. 95-599, 92 Stat. 2689): 155, 316, 320, and title
IV, as amended (as it relates to matters within the primary
responsibility of the Urban Mass Transportation Administrator).
(m) Section 601(d) of the Rail Passenger Service Act, as amended.
(n) Section 2 of Public Law 98-229, 98 Stat. 55, insofar as it
relates to apportioning certain funds for Interstate substitute transit
projects.
[Amdt. 1-157, 45 FR 83408, Dec. 18, 1980, as amended by Amdt. 1-168, 47
FR 16632, Apr. 19, 1982; Amdt. 1-180, 48 FR 15476, Apr. 11, 1983; Amdt.
1-187, 48 FR 52678, Nov. 21, 1983; Amdt. 1-191, 49 FR 6908, Feb. 24,
1984; Amdt. 1-203, 50 FR 30275, July 25, 1985]
Sec. 1.52 Delegations to Saint Lawrence Seaway Development Corporation Administrator.
The Administrator of the Saint Lawrence Seaway Development
Corporation is delegated authority to:
(a) Carry out the functions vested in the Secretary by sections 4,
5, 6, 7, 8, 12 and 13 of section 2 of the Port and Tanker Safety Act of
1978 (92 Stat. 1471) as they relate to the operation of the St. Lawrence
Seaway.
(b) Carry out the functions vested in the Secretary by section 5 of
the International Bridge Act of 1972 (Pub. L. 92-434) as it relates to
the St. Lawrence River.
(c) Carry out the functions vested in the Secretary by section 3(d)
of the Act to Prevent Pollution from Ships (33 U.S.C. 1902(d)) as it
relates to ships owned or operated by the Corporation when engaged in
noncommercial service.
(d) Carry out the Great Lakes Pilotage Act of 1960, as amended, (46
U.S.C. 9301 et seq.).
(e) Under the 1977 Memorandum of Arrangements with Canada and the
Great Lakes Pilotage Act of 1960, as amended in 1983 (46 U.S.C. 9305),
enter into, revise, or amend arrangements with Canada in coordination
with the General Counsel.
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by 45 FR 48630,
July 21, 1980; Amdt. 1-167, 47 FR 11677, Mar. 18, 1982; 60 FR 38971,
July 31, 1995; Amdt. 1-272, 60 FR 63450, Dec. 11, 1995]
Sec. 1.53 Delegations to the Administrator of the Research and Special Programs Administration.
Administration. The Administrator of the Research and Special
Programs Administration is delegated authority to exercise powers and
perform duties, including duties under the specified statutes as
follows:
(a) Pipelines. (1) Natural Gas Pipeline Safety Act of 1968, as
amended (49 U.S.C. 1671 et seq.).
(2) Mineral Leasing Act, as amended (Pub. L. 93-153, 30 U.S.C. 185).
(3) Deepwater Port Act of 1974 (Pub. L. 93-627, 33 U.S.C. 1501 et
seq.) relating to the establishment, enforcement and review of
regulations concerning the safe construction, operation or maintenance
of pipelines on Federal lands and the Outer Continental Shelf (33 U.S.C.
1520).
(4) Section 5 of the International Bridge Act of 1972 (Pub. L. 92-
434, 33 U.S.C. 535) as it relates to pipelines not over navigable
waterways.
(5) Hazardous Liquid Pipeline Safety Act of 1979, as amended (49
U.S.C. 2001 et seq.).
(6) Outer Continental Shelf Lands Act (43 U.S.C. 1331 et seq.) as
amended, with respect to establishment, enforcement and review of
regulations concerning pipeline safety.
[[Page 34]]
(7) Sections 4(a) and 5(c) of Executive Order 12316 of August 14,
1981 (46 FR 42237, August 20, 1981) (delegating sections 107(c)(1)(c)
and 108(b), respectively, of the Comprehensive Environmental Response,
Compensation, and Liability Act of 1981, Pub. L. 96-510), insofar as
they relate to pipelines.
(8) Section 7005 of the Consolidated Omnibus Budget Reconciliation
Act of 1985, as it relates to pipeline safety user fees.
(b) Hazardous materials. (1) Sections 101-121 of the Hazardous
Materials Transportation Act of 1975 (49 App. U.S.C. 1801-1819), as
amended by the Hazardous Materials Transportation Uniform Safety Act of
1990 (104 Stat. 3244), except as delegated by Secs. 1.46(t), 1.47(j),
1.48(u)(2), and 1.49(s)(2), and except that the enforcement activities
of the Research and Special Programs Administration (RSPA) shall be
limited to any matter relating to or concerning any of the following:
(i) Any violation of an exemption or approval issued under that Act;
(ii) Any violation of any requirement for a telephonic or written
report of a hazardous materials incident or any other reporting
requirement imposed under that Act;
(iii) Any manufacture, fabrication, marking, maintenance,
reconditioning, repair, testing, or retesting of any packaging, except
modal-specific bulk packaging, which is represented, marked, certified,
or sold for use in the transportation of hazardous materials, including
any United Nations standard or DOT specification or exemption packaging;
(iv) Any manufacture, fabrication, marking, maintenance,
reconditioning, repair, testing, or retesting of any modal-specific bulk
packaging, which is represented, marked, certified, or sold for use in
the transportation of hazardous materials, including any United Nations
standard or DOT specification or exemption packaging, only when
requested by the modal administration with primary responsibility for
such activity;
(v) Any carrier of hazardous materials only when requested by the
modal administration with primary responsibility for inspecting such
carrier;
(vi) Any offeror of any hazardous material for transportation with
respect to its offering of any hazardous material for transportation in:
(A) Any modal-specific bulk packaging only when requested by the
modal administration with primary responsibility for inspecting such
packaging; or
(B) Any other packaging.
This delegation to the Administrator of RSPA does not limit the
enforcement authority of the Administrators of FHWA, FRA, and FAA, and
the Commandant of the Coast Guard under the Hazardous Materials
Transportation Act, as amended. Those agencies have enforcement
authority over all aspects of the transportation or shipment of
hazardous materials by their respective modes, including the
manufacture, fabrication, marking, maintenance, reconditioning, repair,
testing, or retesting of any bulk packaging intended or represented as
intended for use in the transportation of hazardous materials by their
respective modes.
(2) Serves as the Department's point of contact and consults with
the Environmental Protection Agency on matters arising under section
3003 of the Resources Conservation and Recovery Act (42 U.S.C. 6923) and
section 9 of the Toxic Substances Control Act (15 U.S.C. 2608).
(3) Sections 601(c) and 902(h)(1) of the Federal Aviation Act of
1958, as amended (49 U.S.C. 1421 and 1472(h)(1), respectively), as they
relate to regulations governing the transportation of hazardous
materials by air.
(4) Section 16, 25, 26, and 29 of the Hazardous Materials
Transportation Uniform Safety Act of 1990 (Pub. L. 101-615; 104 Stat.
3244 (49 app. U.S.C. 1813 note, 1804 note; 29 U.S.C. 655 note)).
(c) Passenger and cargo security. (1) Serve as the Department's
point of contact in relationships with Government, state, regional,
local and private groups and organizations in matters relative to the
Department-wide program for enhancing the safety and security of
passengers and cargo in transit.
(d) Intermodal transport. (1) Section 4(e) of the International Safe
Container Act (Pub. L. 95-208, 91 Stat. 1475).
(2) [Reserved]
[[Page 35]]
(e) Emergency preparedness. Carry out the functions related to
emergency preparedness vested in the Secretary by 49 U.S.C. 101 and 301
or delegated to the Secretary by or through the Defense Production Act
of 1950, 50 U.S.C. App. 2061 et seq.; Executive Order 10480, as amended;
Executive Order 12148; Executive Order 12656; Executive Order 12742;
Reorganization Plan No. 3 of 1978; and such other statutes, executive
orders, and other directives as may pertain to emergency preparedness.
(f) Working Capital Fund for Financing the Activities of the
Transportation Systems Center. (1) Section 207 of Public Law 96-254 (49
U.S.C. 1657(r)), authorizing the Secretary to establish a working
capital fund for financing the activities of the Transportation Systems
Center.
(2) [Reserved]
(g) [Reserved]
(h) Science and technology. (1) With respect to scientific and
technological matters, serve as principal advisor to the Secretary and
representative of the Department to the academic community, the private
sector, professional organizations, and other Government agencies.
(2) Serve as principal liaison official for the Department of
Transportation with the Office of Science and Technology Policy in the
Executive Office of the President.
(3) Serve as Chairperson of the Department of Transportation's
Research and Development Coordinating Council.
(4) Serve as Chairperson of the Department of Transportation
Navigation Council.
(5) Serve as primary official responsible for coordination and
oversight of the Department's implementation of section 2 of the Federal
Technology Transfer Act of 1986 (Pub. L. No. 99-502; 15 U.S.C. 3710a),
relating to the transfer of Federal technology to the marketplace.
(i) Carry out the functions vested in the Secretary by sections 4,
5, 6, 7, and 8 of the Sanitary Food Transportation Act of 1990 (Pub. L.
101-500; 104 Stat. 1213).
(j) Section 8 of the Independent Safety Board Act Amendments of 1990
(Pub. L. 101-641; 104 Stat. 4654 (49 app. U.S.C. 1804 note)).
(k)(1) Carry out the functions and exercise the authority delegated
to the Secretary in Executive Order 12777 (3 CFR, 1991 Comp.; 56 FR
54757) in section 2(b)(2) relating to the establishment of procedures,
methods, and equipment and other requirements for equipment to prevent
discharges from, and to contain oil and hazardous substances in,
pipelines, motor carriers, and railroads. (See 49 CFR 1.46 and 1.66.)
(2) Carry out the functions and exercise the authority delegated to
the Secretary in section 2(d)(2) of Executive Order 12777 (3 CFR, 1991
Comp.; 56 FR 54757) relating to the issuance of regulations requiring
the owners or operators of pipelines, motor carriers, and railroads,
subject to the Federal Water Pollution Control Act (33 U.S.C. 1321), to
prepare and submit response plans, except as delegated in section
1.46(m). For pipelines subject to the Federal Water Pollution Control
Act (33 U.S.C. 1321), this authority includes the approval of means to
ensure the availability of private personnel and equipment to remove, to
the maximum extent practicable, a worst case discharge, the review and
approval of response plans, and the authorization of pipelines to
operate without approved response plans.
(l) University Grants Program. Sections 11(b) and 11(c) of the
Federal Transit Act, as amended, 49 U.S.C. App. 1607c(b) and 1607c(c),
except for the provisions in sections 11(b)(8)(b) and 11(b)(10).
[Amdt. 1-130, 43 FR 5516, Feb. 9, 1978]
Editorial Note: For Federal Register citations affecting Sec. 1.53,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Sec. 1.54 Delegations to all Secretarial Officers.
(a) This section sets forth general delegations to the Deputy
Secretary, the Deputy Under Secretary, the General Counsel, the
Inspector General and the Assistant Secretaries.
(b) Each officer named in paragraph (a) of this section is delegated
authority to:
(1) Redelegate and authorize successive redelegations of authority
granted
[[Page 36]]
by the Secretary within their respective organizations, except as
limited by law or specific administrative reservation, including
authority to publish those redelegations in appendix A of this part.
(2) Authorize and approve official travel (except foreign travel)
and transportation for themselves, their subordinates, and others
performing services for, or in cooperation with, the Office of the
Secretary. This authority may be redelegated in accordance with
regulations issued by the Assistant Secretary for Administration.
(3) Communicate directly with chairmen of Field Coordination Groups
provided such communications are largely informational in character and
do not conflict with program responsibilities of the operating
administrations.
(4) Establish ad hoc committees for specific tasks within their
assigned staff area.
(5) Establish, modify, extend, or terminate standing committees
within their specific areas of responsibility when directed or
authorized to do so by the Secretary.
(6) Designate members of interagency committees when such committees
are specifically concerned with responsibilities of direct interest to
their office.
(7) Exercise the following authorities with respect to executive
level positions (GS-16, 17, or 18 or equivalent) within their respective
areas of responsibility:
(i) Determine how executive level positions will be filled; i.e., by
reassignment, promotion, appointment.
(ii) Establish selection criteria to be used in identifying eligible
candidates.
(iii) Confer with the Administrators on selection criteria and
candidates for an executive level position that is a counterpart of an
activity or position in the Office of the Secretary.
(iv) Recommend final selection for executive level positions,
subject to review by the Executive Committee of the Departmental
Executive Personnel Board and approval by the Secretary and the Civil
Service Commission.
(v) Serve as ad hoc member of the Departmental Executive Personnel
Board at the call of the Chairman and serve on the Board's Executive
Committee whenever matters involving their respective offices or a
functional counterpart thereof in an operating administration are
presented to the Executive Committee for its consideration.
(8) Enter into inter- and intra-departmental reimbursable agreements
other than with the head of another department or agency (31 U.S.C.
686). This authority may be redelegated only to office directors or
other comparable levels and to contracting officers.
(9) Administer and perform the functions described in their
respective functional statements.
(10) Exercise the authority of the Secretary to make certifications,
findings and determinations under the Regulatory Flexibility Act (Pub.
L. 96-354) with regard to any rulemaking document for which issuance
authority is delegated by other sections in this part. This authority
may be redelegated to those officials to whom document issuance
authority has been delegated.
(11) Exercise the authority of the Secretary to resolve informal
allegations of discrimination arising in or relating to their respective
organizations through Equal Employment Opportunity counseling or the
Alternative Dispute Resolution process and to develop and implement
affirmative action and diversity plans within their respective
organizations.
(49 U.S.C. 1657(e)(1))
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by Amdt. 1-114, 41
FR 1288, Jan. 7, 1976; Amdt. 1-157, 45 FR 83408, Dec. 18, 1980; Amdt. 1-
159, 46 FR 22593, Apr. 20, 1981; Amdt. 265, 60 FR 2891, Jan. 12, 1995]
Sec. 1.55 Delegations to Deputy Secretary.
The Deputy Secretary may exercise the authority of the Secretary
except where specifically limited by law, order, regulations, or
instructions of the Secretary. In addition, the Deputy Secretary is
delegated authority to:
(a) Exercise executive control over the Departmental Planning-
Programming-Budgeting System.
(b) Serve as Chairman of the Departmental Executive Personnel Board
and its Executive Committee.
(c) Originate direct correspondence to chairmen of Field
Coordination Groups on overall Departmental matters.
[[Page 37]]
(d) Approve the establishment, modification, extension, or
termination of:
(1) Department-wide (intra-department) committees affecting more
than one program.
(2) OST-sponsored interagency committees.
(3) All advisory committees (including industry advisory committees)
except those sponsored by field activities of the operating
administrations.
(e) Approve the designation of:
(1) Departmental representatives and the chairman for interagency
committees sponsored by the Office of the Secretary.
(2) Departmental representatives on all advisory committees except
those sponsored by a field component of one of the operating
administrations or the Materials Transportation Bureau.
(3) Departmental members for international committees.
(f) Authorize and approve official travel and transportation for
self, subordinates, and others performing services for or in cooperation
with the Office of the Secretary; and authorize and approve official
foreign travel of all Departmental personnel and others performing
travel for the Department.
(g) Serve as the representative of the Secretary on the board of
directors of the National Railroad Passenger Corporation and carry out
the functions vested in the Secretary as a member of the board by
section 303 of the Rail Passenger Service Act of 1970 (84 Stat. 1330).
(h) Serve as the representative of the Secretary as incorporator,
member of the acting board of directors, member of the board of
directors, and member of the executive committee of the board of
directors, of the United States Railway Association and when so serving
carry out the functions vested in the Secretary in each capacity by
title II of the Regional Rail Reorganization Act of 1973 (Pub. L. 93-
236), as amended.
(i) Serve as the representative of the Secretary as incorporator,
member of the interim board of directors established by section 301(c)
of the Regional Rail Reorganization Act of 1973 (Pub. L. 93-236), and
member of the board of directors, of the Consolidated Rail Corporation
and when so serving carry out the functions vested in the Secretary in
each capacity by title III of the Regional Rail Reorganization Act of
1973 (Pub. L. 93-236).
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by Amdt. 1-114, 41
FR 1288, Jan. 7, 1976; Amdt. 1-116, 41 FR 20680, May 20, 1976; Amdt. 1-
126, 41 FR 56327, Dec. 28, 1976; Amdt. 1-157, 45 FR 83408, Dec. 18,
1980; Amdt. 1-165, 46 FR 55266, Nov. 9, 1981]
Sec. 1.56 Delegations to the Assistant Secretary for Transportation Policy.
The Assistant Secretary for Transportation Policy is delegated
authority to:
(a) Establish policy and maintain oversight of implementation of the
National Environmental Policy Act of 1969, as amended (42 U.S.C. 4321-
4347) within the Department of Transportation.
(b) Oversee the implementation of section 4(f) of the Department of
Transportation Act of 1969 (49 U.S.C. 303).
(c) Represent the Secretary of Transportation on various interagency
boards, committees, and commissions to include the Architectural and
Transportation Barriers Compliance Board and the Advisory Council on
Historic Preservation.
(d) Except with respect to proceedings under section 4(e) of the
Department of Transportation Act (49 U.S.C. 307) relating to safety
fitness of an applicant, decide on requests to intervene or appear
before administrative agencies to present the views of the Department
subject to concurrence by the General Counsel.
(e) Carry out the functions vested in the Secretary by section 656
of the Department of Energy Organization Act (42 U.S.C. 7266) which
pertains to planning and implementing energy conservation matters with
the Department of Energy. Serves as the Department's principal
conservation officer.
[Amdt. 1-261, 59 FR 10063, Mar. 3, 1994]
Sec. 1.56a Delegations to the Assistant Secretary for Aviation and International Affairs.
The Assistant Secretary for Aviation and International Affairs is
delegated authority to:
(a) Represent the Secretary of Transportation on various interagency
[[Page 38]]
boards, committees, and commissions to include the Trade Policy Review
Group and the Trade Policy Staff Committee.
(b) Except with respect to proceedings under section 4(e) of the
Department of Transportation Act (49 U.S.C. 307) relating to safety
fitness of an applicant, decide on requests to intervene or appear
before administrative agencies to present the views of the Department
subject to concurrence by the General Counsel.
(c) Carry out the functions of the Secretary pertaining to aircraft
with respect to Transportation Orders T-1 and T-2 (44 CFR chapter IV)
under the Act of September 8, 1950, as amended (50 U.S.C. app. 2061 et
seq.) and Executive Order No. 10480 (3 CFR, 1949-1953 comp., p. 962), as
amended.
(d) Serve as Department of Transportation member of the Interagency
Group on International Aviation, and pursuant to Executive Order No.
11382 (3 CFR, 1966-1970 comp., p. 691), as amended, serve as Chair of
the Group.
(e) Serve as second alternate representing the Secretary of
Transportation to the Trade Policy Committee as mandated by
Reorganization Plan No. 3 of 1979 (5 U.S.C. app. at 1381 (1988)) and
Executive Order No. 12188 (3 CFR, 1980 comp., p. 131), as amended.
(f)(1) As supplemented by 14 CFR part 385, as limited by paragraph
(f)(2) of this section, and except as provided in Secs. 1.53(g),
1.57(a), and 1.57(s) of this title, carry out the functions transferred
to the Department from the Civil Aeronautics Board under the following
statutes:
(i) 49 U.S.C. app. 1551(b); and
(ii) Section 4(a)(1) through (4), (6), and (8) through (10) of the
Civil Aeronautics Board Sunset Act of 1984 (49 U.S.C. app. 1553(a)(1)
through (4), (6), and (8) through (10)).
(2) Insofar as the delegation in this paragraph (f) authorizes
review of decisions of the Designated Senior Career Official in the
Office of the Assistant Secretary for Aviation and International Affairs
under Sec. 1.56b of this title, the authority is limited to approving
any such decision or remanding it for reconsideration by the Designated
Senior Career Official, with a full written explanation of the basis for
the remand.
(g) Carry out the functions vested in the Secretary by the following
subsections of section 1115 of the Federal Aviation Act of 1958, as
amended, which relates to the security of foreign airports:
(1) Subsection 1115(e)(1), in coordination with the General Counsel,
and the Federal Aviation Administrator; and
(2) Subsection 1115(e)(3), in coordination with the General Counsel,
the Federal Aviation Administrator, the Assistant Secretary for
Governmental Affairs, and the Assistant Secretary for Administration.
(h) Carry out the following statutory provisions relating to
consumer protection:
(1) Section 4(a)(5) of the Civil Aeronautics Board Sunset Act of
1984 (49 U.S.C. app. 1553(a)(5)) relating to enforcement of the Consumer
Credit Protection Act;
(2) Sections 101(3) (relating to relieving certain carriers from
provisions of the Federal Aviation Act), 204 (relating to taking such
actions and issuing such regulations as may be necessary to carry out
responsibilities under the Act), 404 (relating to enforcing the duty of
carriers to provide safe and adequate service), 407(a) (relating to
requiring the production of information), 407(e) (relating to entering
carrier property, and inspecting records), 411 (relating to determining
whether any carrier or ticket agent is engaged in unfair or deceptive
practices or unfair methods of competition), and 416 (relating to
establishing just and reasonable classifications of carriers and rules
to be followed by each) of the Federal Aviation Act of 1958, as amended,
(49 U.S.C. 1301(3), 1324, 1374, 1377 (a) and (e), 1381, and 1386) as
appropriate to the consumer protection functions in this paragraph.
(i) Carry out the functions of the Secretary pertaining to a
determination of whether a fee imposed upon one or more air carriers by
the owner or operator of an airport is reasonable under section 113 of
the Federal Aviation Administration Authorization Act of 1994
[[Page 39]]
(August 23, 1994; Pub. L. 103-305; 108 Stat. 1577-1579).
[Amdt. 1-261, 59 FR 10063, Mar. 3, 1994, as amended by Amdt. 1-266, 60
FR 11046, Mar. 1, 1995; Amdt. 1-269, 60 FR 15877, Mar. 28, 1995]
Sec. 1.56b Delegations to the Designated Senior Career Official, Office of the Assistant Secretary for Aviation and International Affairs.
The Designated Senior Career Official in the Office of the Assistant
Secretary for Aviation and International Affairs is delegated exclusive
authority to make decisions in all hearing cases to select a carrier for
limited-designation international route authority, and in any other case
that the Secretary designates, under the authority transferred to the
Department from the Civil Aeronautics Board described in Secs. 1.56a(f)
and 1.57(s) of this title; this includes the authority to adopt, reject
or modify recommended decisions of administrative law judges.
[Amdt. 1-261, 59 FR 10064, Mar. 3, 1994, as amended by Amdt. 1-269, 60
FR 15877, Mar. 28, 1995]
Sec. 1.57 Delegations to General Counsel.
The General Counsel is delegated authority to:
(a) Conduct all rule-making proceedings, except the issuance of
final rules, under specific laws relating generally to standard time
zones and daylight saving (advanced standard) time.
(b) Determine the practicability of applying the standard time of
any standard time zone to the movements of any common carrier engaged in
interstate or foreign commerce and issue operating exceptions in any
case in which the General Counsel determines that it is impractical to
apply the standard time.
(c) Provide and coordinate the Department's counseling service to
employees on questions of conflict of interest and other matters of
legal import covered by Departmental regulations on employee
responsibility and conduct. Assure that counseling and interpretations
on these matters are available to designated Deputy Counselors of the
Department. Serve as the Department's designee to the Civil Service
Commission on these matters.
(d) Serve as the alternate representative of the Secretary on the
Board of Directors of the National Railroad Passenger Corporation when
so designated by the Secretary or Deputy Secretary and carry out the
functions vested in the Secretary as a member of the board by section
303 of the Rail Passenger Service Act of 1970 (84 Stat. 1330).
(e) Review and take final action on referrals of the findings of the
Board for Correction of Military Records of the Coast Guard (except with
respect to those matters on which the Secretary's authority to take
final action is exercised by the Board pursuant to 33 CFR 52.35-15) and
the Coast Guard Discharge Review Board.
(f) Approve vacation of suspension of dismissal of military
personnel (10 U.S.C. 872(b)).
(g) Grant permission, under specific circumstances, to deviate from
a policy or procedure prescribed by part 9 of the regulations of the
Office of the Secretary (part 9 of this subtitle) with respect to
testimony of OST employees as witnesses in legal proceedings, the
serving of legal process and pleadings in legal proceedings involving
the Secretary or his Office, and the production of records of that
Office pursuant to subpoena.
(h) Prepare proposed Executive orders and proclamations (including
transmittal documents), effect appropriate Departmental coordination,
and determine whether the transmittal to the Office of Management and
Budget should be submitted over the Secretary's signature or the General
Counsel's.
(i) Emboss and affix the official Departmental seal to appropriate
documents and other materials, for all purposes for which authentication
by seal is required.
(j) Except with respect to proceedings under section 4(e) of the
Department of Transportation Act (80 Stat. 934) relating to safety
fitness of an applicant, decide on requests to intervene or appear
before courts or agencies to present the views of the Department,
subject to the concurrence of other interested staff elements in the
Office of the Secretary.
[[Page 40]]
(k) Exercise the authority delegated to the Department by the
Assistant Attorney General, Land and Natural Resources Division, in his
order of October 2, 1970, to approve the sufficiency of the title to
land being acquired by purchase or condemnation by the United States for
the use of the Department. Redelegation and successive redelegations of
this authority may only be made to attorneys within the Department.
(l) Issue regulations making editorial changes or corrections in the
Regulations of the Office of the Secretary.
(m) Review and take final action on applications for reconsideration
of initial decisions not to disclose unclassified records of the Office
of the Secretary requested under 5 U.S.C. 552(a)(3).
(n) Consider, ascertain, adjust, determine, compromise, and settle
for an amount not exceeding $25,000, any tort claim arising from the
activities of any employee of the Office of the Secretary. Request the
approval of the Attorney General for any such award, compromise, or
settlement in excess of $25,000 (28 U.S.C. 2672).
(o) Conduct coordination with foreign governments under section 118
of the Deep Seabed Hard Mineral Resources Act (June 21, 1980).
(p) Grant or deny petitions for extension of time to file a document
under part 202 of title 46.
(q) Deny petitions for rulemaking or petitions for exemptions in
accordance with Sec. 5.13(c) of this title, and notify petitioners of
denials in accordance with Sec. 5.13(d) of this title.
(r) Exercise the review authority delegated to the Secretary by the
President in Executive Order 12597 of May 13, 1987.
(s) Assist and protect consumers in their dealings with the air
transportation industry and assist state and local organizations in
handling airline consumer complaints. Carry out 49 U.S.C. 40113 and
41771 as appropriate to those functions.
(10 U.S.C. 1552; 49 U.S.C. 1655(b); 49 U.S.C. 322; 49 CFR 1.57(l))
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975]
Editorial Note: For Federal Register citations affecting Sec. 1.57,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Sec. 1.57a Delegations to Deputy General Counsel.
The Deputy General Counsel is delegated authority to:
(a) Appear on behalf of the Department on the record in hearing
cases, and to initiate and carry out enforcement actions on behalf of
the Department, under the authority transferred to the Department from
the Civil Aeronautics Board as described in Secs. 1.56a(f) and 1.57(s).
This includes the authority to compromise penalties under 49 U.S.C.
46301; to issue appropriate orders, including cease and desist orders,
under 49 U.S.C. 46101; and to require the production of information,
enter carrier property and inspect records and inquire into the
management of the business of a carrier under 49 U.S.C. 41711, as
appropriate to the enforcement responsibilities. In carrying out these
functions, the Deputy General Counsel is not subject to the supervision
of the General Counsel.
(b) Initiate and carry out enforcement actions relating to:
(1) foreign airport security on behalf of the Department under 49
U.S.C. 44907; and
(2) the Consumer Credit Protection Act under section 4(a)(5) of the
Civil Aeronautics Board Sunset Act of 1984 (October 4, 1984; Pub. L. 98-
443). In carrying out these functions, the Deputy General Counsel is not
subject to the supervision of the General Counsel.
[Amdt. 1-269, 60 FR 15877, Mar. 28, 1995]
Sec. 1.57b Delegations to the Assistant General Counsel for Environmental, Civil Rights, and General Law.
Administer 5 U.S.C. 552 and 49 CFR part 7 in connection with the
records of the Office of the Secretary (including the Office of the
Inspector General) and issue procedures to ensure uniform Departmental
implementation of statutes and regulations regarding public access to
records.
[Amdt. 1-228, 54 FR 10010, Mar. 9, 1989, as amended by Amdt. 1-261, 59
FR 10064, Mar. 3, 1994]
[[Page 41]]
Sec. 1.58 Delegations to Assistant Secretary for Budget and Programs.
The Assistant Secretary for Budget and Programs is delegated
authority to:
(a) Exercise day-to-day operating management responsibility over the
Office of Programs and Evaluation and the Office of Budget.
(b) Direct and manage the Departmental planning, evaluation, and
budget activities.
(c) Request apportionment or reapportionment of funds by the Office
of Management and Budget, provided that no request for apportionment or
reapportionment which anticipates the need for a supplemental
appropriation shall be submitted to the Office of Management and Budget
without appropriate certification by the Secretary.
(d) Issue allotments or allocations of funds to components of the
Department.
(e) Authorize and approve official travel and transportation for
staff members of the Immediate Office of the Secretary including
authority to sign and approve related travel orders and travel vouchers,
but not including requests for overseas travel.
(f) Issue monetary authorizations for use of reception and
representation funds.
(g) Act for the Secretary and Deputy Secretary with respect to
certain budgetary and administrative matters relating to the Immediate
Office of the Secretary.
[Amdt. 1-130, 42 FR 58754, Nov. 11, 1977. Redesignated by Amdt. 1-157,
45 FR 83409, Dec. 18, 1980]
Sec. 1.59 Delegations to the Assistant Secretary for Administration.
The Assistant Secretary for Administration is delegated authority
for the following:
(a) Acquisition. (1) Exercise procurement authority with respect to
requirements of the Office of the Secretary.
(2) Make the required determinations with respect to mistakes in
bids relative to sales of personal property conducted by the Office of
the Secretary without power of redelegation.
(3) Carry out the functions vested in the Secretary by sections 3
and 4(b) (as appropriate) of Executive Order 11912.
(4) Carry out the functions delegated to the Secretary from time to
time by the Administrator of General Services to lease real property for
Department use.
(b) Personnel. (1) Conduct a personnel management program for the
Office of the Secretary with authority to take, direct others to take,
recommend or approve any personnel action with respect to such
authority.
(2) Serve as Vice Chairman of the Departmental Executive Resources
Board and its Executive Resources Review Committee.
(3) Exercise emergency authority to hire without the prior approval
of the Deputy Secretary normally required by Departmental procedures
implementing general employment limitations when in the judgment of the
Assistant Secretary immediate action is necessary to effect the hire and
avoid the loss of a well-qualified job applicant, and for similar
reasons.
(4) Review proposals of the Office of the Secretary for each new
appointment or transfer to:
(i) Verify the essentiality of the position, and
(ii) [Reserved]
(5) Approve employment of experts and consultants in accordance with
5 U.S.C. 3109.
(6) Serve as Vice Chairman of the Departmental Executive Personnel
Board and its Executive Committee.
(7) Issue final interpretations for the Department and its
administrations on matters arising under section 7117 of title VII of
the Civil Service Reform Act of 1978.
(8) Develop, coordinate, and issue wage schedules for Department
employees under the Federal Wage System, except as delegated to the
Commandant of the Coast Guard at Sec. 1.46.
(c) Finance. (1) Administer the financial and fiscal affairs of the
Office of the Secretary (other than those for which the Assistant
Secretary for Budget and Programs is responsible), in accordance with 31
U.S.C. 3512.
(2) Designate to the Treasury Department certifying officers and
designated agents for the Office of the Secretary
[[Page 42]]
and imprest fund cashiers for the Departmental headquarters.
(Redelegation to the Director of Financial Management is contained in
subpart C, Sec. 1.59a.)
(3) In accordance with 31 U.S.C. 3527, grant or recommend relief
from accountability for losses or deficiencies of disbursing officers,
cashiers, or other accountable officers as follows:
(i) Grant relief for losses or deficiencies of less than $500 for
which charges or exceptions have not been raised by the General
Accounting Office.
(ii) Recommend relief by the Comptroller General for all other
losses or deficiencies.
(4) Settle and pay claims by employees of the Office of the
Secretary, except at the Transportation System Center, for personal
property losses, as provided by 31 U.S.C. 241(b).
(5) Waive claims and make refunds in connection with claims of the
United States for erroneous payment of pay and allowances or of travel,
transportation, and relocation expenses and allowances to an employee of
the Office of the Secretary in amounts aggregating not more than $1,500
without regard to any repayments, and deny requests for waiver of such
claims regardless of the aggregate amount of the claim, as provided by 4
CFR parts 91, 92, and 93. This authority may be redelgated only to the
Director of Financial Management.
(6) Compromise, suspend collection action on, or terminate claims of
the United States not exceeding $100,000 (excluding interest) which are
referred to, or arise out of the activities of, the Office of the
Secretary.
(7) Determine the existence and amount of indebtedness and the
method of collecting repayments from employees of the Office of the
Secretary and collect repayments accordingly, as provided by 5 U.S.C.
5514. This authority may be redelegated only to the Director of
Financial Management.
(8) Sign Budget Execution reports required by OMB Circular A-34, for
the Office of the Secretary. (Redelegation to the Director of Financial
Management is contained in subpart C, Sec. 1.59a.)
(9) Review and approve for payment any voucher for $25 or less the
authority for payment of which is questioned by a certifying or
disbursing officer. (Redelegation to the Director of Financial
Management is contained in subpart C, Sec. 1.59a.)
(10) Approve cash purchases of emergency passenger transportation
services costing over $100 under FPMR G-72, as amended.
(11) Perform accounting and related functions in support of the
essential air service program.
(12) Carry out the functions and obligations assigned to the
Secretary with respect to the Prompt Payment Act, Public Law 97-177.
(13) Carry out the functions and duties assigned to the Secretary
with respect to the Debt Collection Act of 1982, Public Law 97-365.
(d) Special funds. Except as otherwise delegated, establish or
operate, or both, such special funds as may be required by statute or by
administrative determination. This includes such special funds as the
Working Capital Fund (49 U.S.C. 1657(j)).
(e) Security. (1) Represent the Secretary on the National
Communications Security Committee and Interdepartmental Committee on
Internal Security.
(2) Issue identification media ``by direction of the Secretary''.
(3) Classify information in the interests of national defense.
(4) Take certain classified actions on behalf of the Department in
connection with counter-audio programs.
(5) Authorize exceptions to investigative standards for National
Defense Executive Reservists.
(6) Determine when emergencies, other than attack on the United
States, justify activation of Personnel Security Regulations issued by
the Secretary.
(7) Approve exceptions to the Personnel Security regulations issued
by the Secretary.
(8) Request the Office of Personnel Management to modify
investigative requirements in other areas.
(f) Printing. (1) Request approval of the Joint Committee on
Printing, Congress of the United States, for any procurement or other
action requiring Committee approval.
[[Page 43]]
(2) Certify the necessity for Departmental periodicals and request
approval of the Director of the Office of Management and Budget (OMB
Circular No. A-3 Revised as of Sept. 8, 1960).
(g) Document authentication. Emboss and affix the official
Departmental seal to appropriate documents and other materials, for all
purposes for which authentication by seal is required.
(h) Foreign travel. Review written requests for modification to the
Department's foreign travel plan approved by the Office of Management
and Budget.
(i) Gifts and bequests. Carry out the functions vested in the
Secretary by section 9(m) of the Department of Transportation Act (Pub.
L. 89-670).
(j) Building management. Carry out the functions vested in the
Secretary by sections 1(b) and 4(b) (as appropriate) of Executive Order
11912.
(k) Privacy. Issue notices of Department of Transportation systems
of records as required by the Privacy Act of 1974 (5 U.S.C. 552a(e)(4),
(11)).
(l) Hearings. Provide logistical and administrative support to the
Department's Office of Hearings.
(m) Paperwork reduction. Carry out the functions and
responsibilities assigned to the Secretary with respect to the Paperwork
Reduction Act of 1980, Public Law 96-511.
(n) Federal real property management. Carry out the functions
assigned to the Secretary with respect to Executive Order 12512 of April
28, 1985.
(o) The Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, Public Law 91-646, 84 Stat. 1894. Except as
provided in Secs. 1.45, 1.48 and 49 CFR 25.302, the functions, powers,
and duties of the Secretary of Transportation, with respect to the
Uniform Relocation Assistance and Real Property Acquisition Policies Act
of 1970, are delegated to the Assistant Secretary for Administration
with respect to programs administered by the Office of the Secretary.
This authority is subject to the requirements listed in Sec. 1.45 that
govern all Operating Administrations' authority with respect to the
Uniform Relocation Assistance and Real Property Acquisition Policies Act
of 1970.
(p) Regulations. Issue Department of Transportation procurement
regulations, subject to the following limitation:
(1) Coordination. The views of the General Counsel, the interested
administrations and other offices will be solicited in the development
of the procurement regulations. In commenting upon proposed provisions
for the procurement regulations, the administrations will indicate the
nature and purpose of any additional implementing or supplementing
policy guidances which they propose to issue at the administration
level.
(2) [Reserved]
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975]
Editorial Note: For Federal Register citations affecting Sec. 1.59,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Sec. 1.59a Redelegations by the Assistant Secretary for Administration.
(a) The Assistant Secretary for Administration has redelegated to
the Director of Acquisition and Grant Management authority to procure
and authorize payment for property and services for the Office of the
Secretary, with power to redelegate and authorize successive
redelegations.
(b) The Assistant Secretary for Administration has redelegated to
the Director of Personnel authority to:
(1) Conduct a personnel management program for the Office of the
Secretary with authority to take, direct others to take, recommend or
approve any personnel action with respect to such authority.
(2) Develop, coordinate, and issue wage schedules for Department
employees under the Federal Wage System, except as delegated to the
Commandant of the Coast Guard at Sec. 1.46 of this part.
(c) The Assistant Secretary for Administration has redelegated to
the Director of Financial Management authority to:
(1) Designate to the Treasury Department certifying officers and
designated agents for the Office of the Secretary and imprest fund
cashiers for the Departmental Headquarters.
(2) Certify to the validity of obligations as required by 31 U.S.C.
200 and to
[[Page 44]]
the adequacy of bond coverage for the designations under section
160(c)(2).
(3) Sign reports on Budget Execution as required by OMB Circular A-
34 (Revised).
(4) Review and approve for payment any voucher for $25 or less the
authority for payment of which is questioned by a certifying or
disbursing officer.
(5) Process essential air service payments.
(6) Approve claims of OST employees allowable under 31 U.S.C. 3721
for amounts of $500 or less.
[Amdt. 1-209, 51 FR 29233, Aug. 15, 1986, as amended by Amdt. 1-232, 54
FR 46616, Nov. 6, 1989]
Sec. 1.60 Delegations to the Inspector General.
The Inspector General is delegated, and has agreed to carry out, the
following:
(a) Aviation economics. The conduct of audits under 49 U.S.C. 1389;
and 49 U.S.C. 1377(e).
(b) [Reserved]
[Amdt. 1-199, 49 FR 50997, Dec. 31, 1984]
Sec. 1.61 Delegations to Assistant Secretary for Governmental Affairs.
The Assistant Secretary for Governmental Affairs is delegated
authority to:
(a) Establish procedures for responding to Congressional
correspondence.
(b) Serve as the Department's point of contact in relationships with
public and private organizations and groups devoted to consumer and
community services or affairs.
(c) Serve as coordinator for intra-Departmental consumer affairs
programs.
[Amdt. 1-157, 45 FR 83409, Dec. 18, 1980, as amended by Amdt. 1-199, 49
FR 50997, Dec. 31, 1984; Amdt. 1-205, 50 FR 52468, Dec. 24, 1985; Amdt.
1-269, 60 FR 15877, Mar. 28, 1995]
Sec. 1.62 Delegations to the Director of Small and Disadvantaged Business Utilization.
The Director of Small and Disadvantaged Business Utilization is
delegated authority to:
(a) Exercise Departmental responsibility for the implementation and
execution of functions and duties under sections 8 and 15 of the Small
Business Investment Act, as amended (15 U.S.C. 637 and 644).
(b) Carry out the functions vested in the Secretary by section 906
of the Railroad Revitalization and Regulatory Reform Act of 1976 (Pub.
L. 94-210), as amended.
[Amdt. 1-157, 45 FR 83409, Dec. 18, 1980]
Sec. 1.63 Delegations to Assistant to the Secretary and Director of Public Affairs.
The Assistant to the Secretary and Director of Public Affairs is
delegated authority to:
(a) [Reserved]
(b) Monitor the overall public information program and review and
approve Departmental informational materials having policy-making
ramifications before they are printed and disseminated.
(c) Carry out the functions vested in the Secretary by section 4(b)
(as appropriate) of Executive Order 11912.
(d) Carry out the functions to promote carpooling and vanpooling
which were vested in the Federal Energy Administration by section
381(b)(1)(B) of the Energy Policy and Conservation Act and transferred
to the Department of Transportation by section 310 of the Department of
Energy Organization Act of 1977.
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by Amdt. 1-118, 41
FR 35849, Aug. 25, 1976; Amdt. 1-157, 45 FR 83409, Dec. 18, 1980; Amdt.
1-184, 48 FR 44079, Sept. 27, 1983; Amdt. 1-228, 54 FR 10010, Mar. 9,
1989; Amdt. 1-261, 59 FR 10064, Mar. 3, 1994]
Sec. 1.64 [Reserved]
Sec. 1.65 Authority to classify information.
(a) E.O. 12356 confers upon the Secretary of Transportation
authority to originally classify information as Secret and Confidential
with further authorization to delegate this authority. (No official of
the Department of Transportation has authority to originally classify
information as Top Secret.)
(b) The following delegations of this authority, which may not be
redelegated, are hereby made:
(1) Office of the Secretary (OST). Chief, Security Staff.
[[Page 45]]
(2) U.S. Coast Guard (USCG). The Commandant; Chief, Office of
Operations.
(3) Federal Aviation Administration (FAA). The Administrator;
Director of Civil Aviation Security.
(4) Maritime Administration (MARAD). The Administrator; Associate
Administrator for Policy and Administration (Confidential only);
Director, Office of International Activities (Confidential only); Chief,
Division of National Security Plans (Confidential only).
(c) Authority to originally classify information as Secret or
Confidential is delegated to the following officials to become effective
automatically upon declaration of civil readiness level Initial Alert or
the comparable military readiness level. If invoked, this authority is
automatically terminated when both civil and military levels return to
the level of Communications Watch or comparable readiness state.
(1) OST. Deputy Secretary; Assistant Secretary for Transportation
Policy; Assistant Secretary for Aviation and International Affairs;
Assistant Secretary for Administration.
(2) USCG. Vice Commandant; Chief of Staff; Commander, Atlantic Area;
Commander, Pacific Area; Commanders, Coast Guard Districts; Commander,
Coast Guard Activities, Europe; Chief, Intelligence and Security
Division.
(3) FAA. Deputy Administrator; Directors, FAA Regions and Centers.
(4) MARAD. Deputy Administrator; Region Directors; Heads of ALFA,
BRAVO, and CHARLIE Emergency Teams when activated.
(d) Although the delegations of authority are expressed above in
terms of positions, the authority is personal and is vested only in the
individual occupying the position. The authority may not be exercised
``by direction of'' a designated official. The formal appointment or
assignment of an individual to one of the identified positions, a
designation in writing of an individual to act in the absence of one of
these officials, or the exercise by an individual of the powers of one
of these officials by operation of law, however, conveys the authority
to originally classify information.
(e) Previous delegations of authority to Department of
Transportation officials to originally classify information as Secret
and Confidential are hereby rescinded.
[Amdt. 1-195, 49 FR 26594, June 28, 1984, as amended by Amdt. 1-261, 59
FR 10061, 10064, Mar. 3, 1994]
Sec. 1.66 Delegations to Maritime Administrator.
With the exception of those authorities delegated to the Maritime
Subsidy Board in Sec. 1.67 of this title, the Maritime Administrator is
delegated authority to:
(a) Carry out sections 9, 12, 14a, 21a, 37, 38, 40, 41, and 42 of
the Shipping Act, 1916, as amended (46 App. U.S.C. 801 et seq.);
(b) Carry out the Merchant Marine Act, 1920, as amended (46 App.
U.S.C. 861 et seq.), including the Ship Mortgage Act, 1920, as amended
(46 App. U.S.C. 921 et seq.);
(c) Carry out the Merchant Marine Act, 1928, as amended (46 App.
U.S.C. 891 et seq.);
(d) Carry out section 7 of the Intercoastal Shipping Act, 1933, as
amended (46 App. U.S.C. 843 et seq.);
(e) Carry out the Merchant Marine Act, 1936, as amended (46 App.
U.S.C. 1101 et seq.); except the authority delegated to the
Administrator of the National Oceanic and Atmospheric Administration
relating to the establishment of capital construction fund agreements
under section 607 thereof and the granting of financing guarantees under
title XI thereof, with respect to vessels in the fishing trade or
industry;
(f) Carry out the Merchant Ship Sales Act of 1946, as amended (50
U.S.C. App. 1735 et seq.);
(g) Carry out the Suits in Admiralty Act (1920), as amended (46 App.
U.S.C. 741 et seq.);
(h) Carry out the Civilian Nautical School Act, 1940 (46 App. U.S.C.
1331 et seq.);
(i) Carry out the Act of June 2, 1951 (46 App. U.S.C. 1241a)
regarding the ``Vessel Operations Revolving Fund'';
(j) Carry out the Act of August 9, 1954 (50 U.S.C. 196 et seq.)
commonly called the Emergency Foreign Vessels Acquisition Act;
[[Page 46]]
(k) Carry out the Merchant Marine Decorations and Medals Act of 1988
(46 App. U.S.C. 2001 et seq.);
(l) Carry out the Maritime Academy Act of 1958, as amended (46 App.
U.S.C. 1381 et seq.);
(m) Carry out the Act of May 16, 1972, as amended (86 Stat. 140)
authorizing sale or purchase of certain passenger vessels;
(n) Carry out the Act of August 22, 1972 (86 Stat. 618) authorizing
sale of Liberty ships for use as artificial reefs;
(o) Carry out section 717 of the Act of October 26, 1972 (86 Stat.
1184) commonly known as the Department of Defense Appropriations Act,
1973, and similar subsequent enactments, with respect to transferring or
otherwise making available vessels under the jurisdiction of the
Maritime Administration to another Federal agency or, similarly,
accepting vessels from another Federal agency;
(p) Carry out the provisions of sections 10 through 13 of Public Law
103-451, the National Maritime Heritage Act of 1994, 108 Stat. 4769,
4778-4782;
(q) Exercise the authority vested in the Administrator of General
Services by the Act of June 1, 1948, Pub. L. 80-566, 62 Stat. 281, 40
U.S.C. 318-318c and the Federal Property and Administrative Services Act
of 1949, as amended, 63 Stat. 377, and delegated by the Administrator of
General Services on May 8, 1995, relating to the enforcement of laws for
the protection of property and persons at the United States Merchant
Marine Academy, located in Kings Point, New York. This may be
accomplished through appointment of uniformed personnel as special
police, establishment of rules and regulations governing conduct on the
affected property, and execution of agreements with other Federal,
State, or local authorities. This delegation shall remain in effect
through May 1, 2000;
(r) Carry out the responsibilities of the National Shipping
Authority (initially established by the Secretary of Commerce effective
March 13, 1951) in the capacity of Director, National Shipping
Authority;
(s) Carry out the Maritime Education and Training Act of 1980 (46
App. U.S.C. 1295), as amended;
(t) Carry out all other activities previously vested in the
Secretary of Commerce and transferred pursuant to Public Law 97-31;
(u) Carry out the functions vested in the Secretary by section 3(d)
of the Act to Prevent Pollution from Ships (33 U.S.C. 1902(d)) as it
relates to ships owned or operated by the Maritime Administration when
engaged in noncommercial service;
(v) [Reserved]
(w) Carry out the provisions of subtitle B of Public Law 101-624;
(x) [Reserved]
(y) Carry out the functions vested in the Secretary by the Oil
Pollution Act of 1990 (August 18, 1990; Pub. L. 101-380; 104 Stat. 484)
in sections 4115(f) relating to vessel financing and 4117 relating to a
feasibility study of an oil pollution prevention program. (See 49 CFR
1.46 and 1.53).
(z) Carry out the functions vested in the Secretary by Section 2927,
Title XXIX of the National Defense Authorization Act of 1994 (Public Law
103-160; November 30, 1993) relating to authority to convey surplus real
property to public entities for use in the development or operation of
port facilities.
[Amdt. 1-164, 46 FR 47459, Sept. 28, 1981, as amended by Amdt. 1-167, 47
FR 11677, Mar. 18, 1982; Amdt. 1-192, 49 FR 12706, Mar. 30, 1984; Amdt.
1-238, 56 FR 6810, Feb. 20, 1991; Amdt. 1-243, 56 FR 22121, May 14,
1991; Amdt. 1-247, 56 FR 59893, Nov. 26, 1991; Amdt. 1-248, 57 FR 8582,
Mar. 11, 1992; Amdt. 1-263, 59 FR 36988, July 20, 1994; Amdt. 1-271, 60
FR 37372, July 20, 1995; Amdt. 1-273, 60 FR 48672, Sept. 20, 1995; Amdt.
1-275, 60 FR 63648, Dec. 12, 1995]
Sec. 1.67 Delegations to Maritime Subsidy Board.
(a) The Maritime Subsidy Board is delegated authority to:
(1) Carry out all functions previously vested in the Secretary of
Commerce pursuant to section 105(1) (except the last proviso thereto and
readjustments in determinations of operating cost differentials not
requiring a hearing and contractual changes reducing or realigning
service requirements not involving additional subsidy or requiring a
section 605(c) hearing under the Act (46 App. U.S.C. 1175(c)), section
105(2), and, insofar as applicable to these functions, section 105(3) of
Reorganization Plan No. 21 of 1950, and section 202(b)(1)
[[Page 47]]
of Reorganization Plan No. 7 of 1961, except investigations, hearings
and determinations, including changes in determinations, with respect to
minimum manning scales, minimum wage scales, and minimum working
conditions referred to in section 301(a) of the Merchant Marine Act,
1936, as amended (46 App. U.S.C. 1101 et seq.).
(2) Carry out all functions previously vested in the Secretary of
Commerce pursuant to section 103(e) of Reorganization Plan No. 7 of 1961
and section 202(b)(2) (except requiring the filing of reports, accounts,
records, rates, charges, and memoranda under section 21 of the Shipping
Act, 1916, as amended, and making reports and recommendations to
Congress) and section 202(b)(3) of Reorganization Plan No. 7 of 1961,
insofar as said functions relate to the functions described in paragraph
(a)(1) of this section.
(3) Execute and sign, by and through any member of the Board or the
Secretary or an Assistant Secretary of the Board, contracts and other
documents authorized or approved by the Board pursuant to paragraphs
(a)(1) and (a)(2) of this section. The execution of such contracts or
documents may be attested, under the seal of the Department of
Transportation, by the Secretary or an Assistant Secretary of the
Maritime Subsidy Board.
(b) The Maritime Subsidy Board may exercise other authorities of the
Secretary of Transportation as applicable to performing the functions
assigned to the Board in this part.
(c) The Board is composed of the Maritime Administrator, the Deputy
Maritime Administrator, and the Chief Counsel of the Administration, and
during a vacancy in any one of those offices, the person acting in such
capacity shall be a member of the Board, unless the Secretary of
Transportation designates another person. In case there still is a
vacancy in the Board or in the absence or disability of one of its
members, the Secretary of the Maritime Administration and Maritime
Subsidy Board, or any other persons designated by the Secretary of
Transportation, shall act as a member or members of the Board. Each
member of the Board, while serving in that capacity, shall act pursuant
to direct authority from the Secretary of Transportation and exercise
judgment independent of authority otherwise delegated to the Maritime
Administrator. The Maritime Administrator or the Acting Maritime
Administrator serves as Chairperson of the Board. The concurring votes
of two members shall be sufficient for the disposition of any matter
which may come before the Board.
(d) The Chairperson of the Maritime Subsidy Board may make use of
officers and employees of the Maritime Administration to perform
activities for the Board. Employees of the Maritime Administration may
be designated as the Secretary or Assistant Secretaries of the Board.
[Amdt. 1-164, 46 FR 47460, Sept. 28, 1981, as amended by Amdt. 1-211, 51
FR 29471, Aug. 18, 1986; Amdt. 1-247, 56 FR 59893, Nov. 26, 1991]
Sec. 1.68 [Reserved]
Sec. 1.69 Delegations to the Director of Intelligence and Security.
The Director of Intelligence and Security is delegated authority to:
(a) Carry out the functions assigned to the Secretary by the
Aviation Security Improvement Act of 1990, section 101 (Pub. L. 101-508;
November 16, 1990) relating to intelligence and security matters for all
modes of transportation.
(b) [Reserved]
[Amdt. 1-237, 56 FR 5958, Feb 14, 1991]
Sec. 1.70 Delegations to the Director of the Departmental Office of Civil Rights.
The Director of the Departmental Office of Civil Rights is delegated
authority to conduct all stages of the formal internal discrimination
complaint process (including the acceptance or rejection of complaints);
to provide policy guidance to the operating administrations and
Secretarial officers concerning the implementation and enforcement of
all civil rights laws, regulations and executive orders for which the
Department is responsible; to otherwise perform activities to ensure
compliance with external civil rights programs; and to review and
evaluate the operating administrations' enforcement of these
authorities.
[[Page 48]]
These authorities include:
(a) Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000e et seq.
(b) Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000d et seq.
(c) Section 504 of the Rehabilitation Act of 1973, as amended, 29
U.S.C. 794 and 794a.
(d) Section 501 of the Rehabilitation Act of 1973, as amended, 29
U.S.C. 791.
(e) Age Discrimination in Employment Act of 1967, as amended, 29
U.S.C. 621 et seq.
(f) Age Discrimination Act of 1975, as amended, 42 U.S.C. 6101.
(g) Americans with Disabilities Act of 1990, Pub. L. No. 101-336,
104 Stat. 327 (1990) (codified at 42 U.S.C. 12101-121213).
(h) Equal Pay Act of 1963 (enacted as section 6(d) of the Fair Labor
Standards Act of 1938, 29 U.S.C. 206(d)).
(i) Alcohol, Drug Abuse, and Mental Health Administration
Reorganization Act, 42 U.S.C. 290dd(b).
(j) 29 CFR Parts 1600 through 1691 (Equal Employment Opportunity
Commission Regulations).
(k) Department of Transportation Coast Guard Military Justice
Manual, CG-488, Part 700-9 (Civil Rights Complaints).
(l) Title VIII of the Civil Rights Act of 1968, as amended, 42
U.S.C. 3601 et seq. (fair housing provisions).
(m) The Federal Property and Administrative Services Act of 1949, 40
U.S.C. 476.
(n) Title IX of the Education Amendments Act of 1972, 20 U.S.C.
1681.
(o) Executive Order No. 12898, Federal Actions To Address
Environmental Justice in Minority Populations and Low-Income
Populations. (In coordination with the Assistant Secretary for
Transportation Policy.)
(p) 49 U.S.C. 47113, 47107, and 47123 (formerly sections 505(f),
511(a)(17), and 520 of the Airport and Airway Improvement Act of 1982,
as amended).
(q) 49 U.S.C. 41705 (formerly the Air Carrier Access Act of 1986, as
amended).
(r) The Federal-Aid Highway Act, as amended, 23 U.S.C. 140 and 324.
(s) 49 U.S.C. 306.
(t) 49 U.S.C. 5310, 5332 (formerly sections 16 and 19 of the Federal
Transit Act, as amended).
(u) The Intermodal Surface Transportation Efficiency Act of 1991,
Pub. L. 102-240, 105 Stat. 1919, section 1003.
(v) The Highway Safety Act of 1966, as amended, 23 U.S.C.
402(b)(1)(D).
[Amdt. 265, 60 FR 2891, Jan. 12, 1995]
Sec. 1.71 Delegations to the Director of the Bureau of Transportation Statistics.
The Director of the Bureau of Transportation Statistics is delegated
authority to exercise powers and perform duties under the following
statutes:
(a) Aviation information. (1) 49 U.S.C. 329(b)(1), relating to
collection and dissemination of information on civil aeronautics;
(2) Section 4(a)(7) of the Civil Aeronautics Board Sunset Act of
1984 (October 4, 1984; Pub. L. 98-443), relating to the reporting of the
extension of unsecured credit to political candidates (section 401,
Federal Election Campaign Act of 1971; 2 U.S.C. 451), in conjunction
with the General Counsel and the Assistant Secretary for Aviation and
International Affairs; and
(3) 49 U.S.C. 40113 (relating to taking such actions and issuing
such regulations as may be necessary to carry out responsibilities under
the Act), 49 U.S.C. 41702 (relating to the duty of carriers to provide
safe and adequate service), 49 U.S.C. 41708 and 41709 (relating to the
requirement to keep information and the forms in which it is to be
kept), and 49 U.S.C. 41701 (relating to establishing just and reasonable
classifications of carriers and rules to be followed by each) as
appropriate to carry out the responsibilities under this paragraph in
conjunction with the General Counsel and the Assistant Secretary for
Aviation and International Affairs.
(b) [Reserved]
[Amdt. 1-270, 60 FR 30196, June 8, 1995]
Appendix A to Part 1--Delegations and Redelegations by Secretarial
Officers
1. Director of Budget. The Assistant Secretary for Budget and
Programs has redelegated to the Director of Budget authority to:
(a) Request apportionment and reapportionment of funds by the Office
of Management and Budget, provided that no request for apportionment or
reapportionment which
[[Page 49]]
anticipates the need for a supplemental appropriation shall be submitted
to the Office of Management and Budget without appropriate certification
by the Secretary.
(b) Issue allotments or allocations of funds to components of the
Department.
2. Chief Counsel, U.S. Coast Guard. (a) The General Counsel, as
Judge Advocate General for the U.S. Coast Guard, has delegated to the
Chief Counsel, U.S. Coast Guard, pursuant to the Uniform Code of
Military Justice, chapter 47 of title 10, United States Code, authority
to exercise the following powers and duties:
(1) The authority to recommend assignment for duty of judge
advocates under Article 6(a), section 806(a) of title 10, United States
Code.
(2) The authority to make field inspections in connection with the
administration of military justice under Article 6(a) section 806(a) of
Title 10, United States Code.
(3) The authority to designate military judges; to make assignments
of, and exercise direct responsibility for, military judges; and to
assign, or approve the performance of, other duties of a judicial or
nonjudicial nature by military judges under Article 26(c), section
826(c) of title 10, United States Code.
(4) The authority to forward to a Court of Military Review records
that must be referred to a Court of Military Review under Article 66(b),
section 866(b) of title 10, United States Code.
(5) The authority to instruct the convening authority to take action
in accordance with the decision of the Court of Military Review or
dismiss the charges under Article 66(e), section 866(e) of title 10,
United States Code.
(6) The authority to modify or vacate findings and sentences in
cases not reviewed by a Court of Military Review under Article 69,
section 869 of title 10, United States Code.
(7) The authority to certify counsel as competent to perform the
duties of trial counsel and defense counsel of a general court-martial
under 10 U.S.C. 827(b), Art. 27(b) UCMJ.
(8) The authority to detail appellate Government counsel and
appellate defense counsel to perform duties in connection with the
review of court-martial cases by the Court of Military Review, the Court
of Military Appeals and the Supreme Court.
(9) The authority to perform any other duty and exercise any other
power which the General Counsel is authorized or required to perform
under the Uniform Code of Military Justice or the Manual for Courts-
Martial, with the exception of the following which are reserved to the
General Counsel or his or her delegatee within the Office of the General
Counsel:
(i) Authority to certify commissioned officers as qualified for duty
as military judges under Article 26(b), section 826(b) of title 10,
United States Code.
(ii) Authority to establish a Court of Military Review and designate
a chief judge of the court under Article 66(a), section 866(a) of title
10, United States Code.
(iii) Authority to order cases sent to the Court of Military Appeals
under Article 67(b)(2), section 867(b)(2) of title 10, United States
Code.
(iv) Authority to examine records of general courts-martial not
reviewed under Article 66, section 866 of title 10, United States Code,
and modify or set aside the findings or the sentence, or refer the
record to the Court of Military Review under Article 69(a), section
869(a) of title 10, United States Code.
(v) Authority to prescribe rules not inconsistent with the Manual
for Courts-Martial to govern the professional supervision and discipline
of military trial and appellate judges, judge advocates, and other
lawyers who practice in proceedings governed by the UCMJ and Manual for
Courts-Martial.
(vi) Authority to make the recommendation of the Judge Advocate
General in a court-martial case requiring approval by the Secretary or
the President.
(vii) Authority to approve a vacation of supension of dismissal of
military personnel.
(b) The authority delegated by paragraph (a)(3) of this section may
be redelegated only to the Deputy Chief Counsel.
(c) The Chief Counsel shall make an annual summary report of his
actions taken under paragraph (a)(6) of this section of this delegation
to the General Counsel of the Department of Transportation (including
the number of cases subject to that authority, the number of
applications for review filed, and the disposition thereof) for
inclusion, as appropriate, in the Judge Advocates General and Court of
Military Appeals report to Congress required by Article 67(g), section
867(g) of title 10, United States Code.
3. Chief Counsels. The General Counsel has delegated to the Chief
Counsels the authority delegated to the General Counsel by Amendment 1-
41 to part 1 of title 49, Code of Federal Regulations, 35 FR 17653,
November 17, 1970, as follows:
Section 855 of the Revised Statutes, as amended by Public Law 91-
393, 84 Stat. 835 (40 U.S.C. 255) authorizes the Attorney General to
delegate to other departments and agencies his authority to give written
approval of the sufficiency to the title to land being acquired by the
United States. The Attorney General has delegated to the Assistant
Attorney General in charge of the Land and Natural Resources Division
the authority to make delegations under that law to other Federal
departments and agencies (35 FR 16084; 28 CFR 0.66). The Assistant
Attorney General, Land and Natural Resources Division, has further
delegated certain responsibilities in connection with the approval of
the sufficiency of the title to land to the Department of Transportation
as follows:
[[Page 50]]
delegation to the department of transportation for the approval of the
title to lands being acquired for federal public purposes
Pursuant to the provision of Public Law 91-393, approved September
1, 1970, 84 Stat. 835, amending R.S. 355 (40 U.S.C. 255), and acting
under the provisions of Order No. 440-70 of the Attorney General, dated
October 2, 1970, the responsibility for the approval of the sufficiency
of the title to land for the purpose for which the property is being
acquired by purchase or condemnation by the United States for the use of
your Department is, subject to the general supervision of the Attorney
General and to the following conditions, hereby delegated to your
Department.
This delegation of authority is further subject to:
1. Compliance with the regulations issued by the Assistant Attorney
General on October 2, 1970, a copy of which is enclosed.
2. This delegation is limited to:
(a) The acquisition of land for which the title evidence, prepared
in compliance with these regulations, consists of a certificate of
title, title insurance policy, or an owner's duplicate Torrens
certificate of title.
(b) The acquisition of lands valued at $100,000 or less, for which
the title evidence consists of abstracts of title or other types of
title evidence prepared in compliance with said regulations.
As stated in the above-mentioned Act, any Federal department or
agency which has been delegated the responsibility to approve land
titles under the Act may request the Attorney General to render his
opinion as to the validity of the title to any real property or interest
therein, or may request the advice or assistance of the Attorney General
in connection with determinations as to the sufficiency of titles.
The Chief Counsels of the United States Coast Guard, Federal
Aviation Administration, Federal Highway Administration, Federal
Railroad Administration, National Highway Traffic Safety Administration,
Urban Mass Transportation Administration, the St. Lawrence Seaway
Development Corporation, Maritime Administration, and Research and
Special Programs Administration are hereby authorized to approve the
sufficiency of the title to land being acquired by purchase or
condemnation by the United States for the use of their respective
organizations. This delegation is subject to the limitations imposed by
the Assistant Attorney General, Land and Natural Resources Division, in
his delegation to the Department of Transportation. Redelegation of this
authority may only be made by the Chief Counsels to attorneys within
their respective organizations.
If his organization does not have an attorney experienced and
capable in the examination of title evidence, a Chief Counsel may, with
the concurrence of the General Counsel, request the Attorney General to
(1) furnish an opinion as to the validity of a title to real property or
interest therein, or (2) provide advice or assistance in connection with
determining the sufficiency of the title.
(49 CFR 1.45(a) and 1.53(a); 49 U.S.C. 322)
[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975]
Editorial Note: For Federal Register citations affecting appendix A
to part 1, see the List of CFR Sections Affected in the Finding Aids
section of this volume.
PART 3--OFFICIAL SEAL--Table of Contents
Authority: 49 U.S.C. 102(e).
Source: Amdt. 3-3, 45 FR 75666, Nov. 17, 1980, unless otherwise
noted.
Sec. 3.1 Description.
The official seal of the Department of Transportation is described
as follows: A white abstract triskelion figure signifying motion appears
within a circular blue field. The figure is symmetrical. The three
branches of the figure curve outward in a counter-clockwise direction,
each tapering almost to a point at the edge of the field. Surrounding
the blue circle is a circular ring of letters. The upper half of the
ring shows the words ``Department of Transportation''. The lower half of
the ring shows the words ``United States of America''. The letters may
be shown in either black or medium gray. The official seal of the
Department is modified when embossed. It appears below in black and
white.
[[Page 51]]
[GRAPHIC] [TIFF OMITTED] TC02FE91.096
PART 5--RULEMAKING PROCEDURES--Table of Contents
Subpart A--General
Sec.
5.1 Applicability.
5.3 Initiation of rulemaking.
5.5 Participation by interested persons.
5.7 Regulatory docket.
Subpart B--Petitions for Rulemaking or Exemptions
5.11 Filing of petitions.
5.13 Processing of petitions.
Subpart C--Procedures
5.21 General.
5.23 Contents of notices.
5.25 Petitions for extension of time to comment.
5.27 Consideration of comments received.
5.29 Additional rulemaking proceedings.
5.31 Hearings.
5.33 Adoption of final rules.
Appendix A to Part 5
Authority: Sec. 9, 80 Stat. 944 (49 U.S.C. 1657).
Source: 32 FR 10363, July 14, 1967, unless otherwise noted.
Subpart A--General
Sec. 5.1 Applicability.
(a) This part prescribes general rulemaking procedures that apply to
the issue, amendment, and repeal of rules of the Secretary of
Transportation. It does not apply to rules issued by the National
Transportation Safety Board, U.S. Coast Guard, Federal Aviation
Administration, Federal Highway Administration, Federal Railroad
Administration, Urban Mass Transportation Administration, National
Highway Traffic Safety Administration, or St. Lawrence Seaway
Development Corporation.
(b) For the purposes of this part, Secretary means the Secretary of
Transportation or the Under Secretary of Transportation, or any of the
following to whom the Secretary has delegated authority to conduct
rulemaking proceedings:
(1) Any Assistant Secretary.
(2) The General Counsel.
Any of these officers may redelegate that authority to the head of any
office who reports to him.
(c) Records relating to rulemaking proceedings are available for
inspection as provided in part 7 of this subtitle.
[32 FR 10363, July 14, 1967, as amended by Amdt. 5-2, 35 FR 5331, Mar.
31, 1970; Amdt. 5-3, 36 FR 430, Jan. 13, 1971]
Sec. 5.3 Initiation of rulemaking.
The Secretary initiates rulemaking on his own motion. However, in
doing so, he may, in his discretion, consider the recommendations of
other agencies of the United States and of other interested persons.
Sec. 5.5 Participation by interested persons.
Any person may participate in rulemaking proceedings by submitting
written information or views. The Secretary may also allow any person to
participate in additional rulemaking proceedings, such as informal
appearances or hearings, held with respect to any rule.
Sec. 5.7 Regulatory docket.
(a) Records of the Office of the Secretary of Transportation
concerning rulemaking actions, including notices of proposed rule
making, comments received in response to those notices, petitions for
rulemaking or exemption,
[[Page 52]]
petitions for rehearing or reconsideration, grants and denials of
exemptions, denials of petitions for rule making, and final rules are
maintained in current docket form in the Office of the General Counsel.
(b) Any person may examine any docketed material at that office and
may obtain a copy of any docketed material upon payment of the
prescribed fee.
Subpart B--Petitions for Rulemaking or Exemptions
Sec. 5.11 Filing of petitions.
(a) Any person may petition the Secretary to issue, amend, or repeal
a rule, or for a permanent or temporary exemption from any rule.
(b) Each petition filed under this section must:
(1) Be submitted in duplicate to the Docket Clerk, Office of the
General Counsel, Department of Transportation, Washington, DC 20590;
(2) Set forth the text or substance of the rule or amendment
proposed, or of the rule from which the exemption is sought, or specify
the rule that the petitioner seeks to have repealed, as the case may be;
(3) Explain the interest of the petitioner in the action requested
including, in the case of a petition for an exemption, the nature and
extent of the relief sought and a description of the persons to be
covered by the exemption;
(4) Contain any information and arguments available to the
petitioner to support the action sought; and
(5) In the case of a petition for exemption, unless good cause is
shown in that petition, be submitted at least 60 days before the
proposed effective date of the exemption.
Sec. 5.13 Processing of petitions.
(a) General. Each petition received under Sec. 5.11 of this part is
referred to the head of the office responsible for the subject matter of
that petition. No public hearing, argument, or other proceeding is held
directly on a petition before its disposition under this section.
(b) Grants. If the Secretary determines that the petition contains
adequate justification, he initiates rulemaking action under subpart C
of this part or grants the exemption, as the case may be.
(c) Denials. If the Secretary determines that the petition does not
justify initiating rule-making action or granting the exemption, he
denies the petition.
(d) Notification. Whenever the Secretary determines that a petition
should be granted or denied, the office concerned and the Office of the
General Counsel prepare a notice of that grant or denial for issuance to
the petitioner, and the Secretary issues it to the petitioner.
Subpart C--Procedures
Sec. 5.21 General.
(a) Unless the Secretary finds, for good cause, that notice is
impractical, unnecessary, or contrary to the public interest, a notice
of proposed rule making is issued and interested persons are invited to
participate in the rulemaking proceedings with respect to each
substantive rule.
(b) Unless the Secretary determines that notice and public
rulemaking proceedings are necessary or desirable, interpretive rules,
general statements of policy, and rules relating to organization,
procedure, or practice are prescribed as final without notice or other
public rulemaking proceedings.
(c) In his discretion, the Secretary may invite interested persons
to participate in the rulemaking proceedings described in Sec. 5.29 of
this subpart.
Sec. 5.23 Contents of notices.
(a) Each notice of proposed rulemaking is published in the Federal
Register, unless all persons subject to it are named and are personally
served with a copy of it.
(b) Each notice, whether published in the Federal Register or
personally served, includes:
(1) A statement of the time, place, and nature of the proposed rule-
making proceeding;
(2) A reference to the authority under which it is issued;
(3) A description of the subjects or issues involved or the
substance or terms of the proposed rule;
[[Page 53]]
(4) A statement of the time within which written comments must be
submitted and the required number of copies; and
(5) A statement of how and to what extent interested persons may
participate in the proceeding.
Sec. 5.25 Petitions for extension of time to comment.
(a) Any person may petition the Secretary for an extension of time
to submit comments in response to a notice of proposed rulemaking. The
petition must be submitted in duplicate not later than 3 days before
expiration of the time stated in the notice. The filing of the petition
does not automatically extend the time for petitioner's comments.
(b) The Secretary grants the petition only if the petitioner shows a
substantive interest in the proposed rule and good cause for the
extension, and if the extension is in the public interest. If an
extension is granted, it is granted as to all persons and is published
in the Federal Register.
Sec. 5.27 Consideration of comments received.
All timely comments are considered before final action is taken on a
rule-making proposal. Late filed comments may be considered so far as
possible without incurring additional expense or delay.
Sec. 5.29 Additional rulemaking proceedings.
The Secretary may initiate any further rulemaking proceedings that
he finds necessary or desirable. For example, he may invite interested
persons to present oral arguments, participate in conferences, appear at
informal hearings, or participate in any other proceeding.
Sec. 5.31 Hearings.
(a) Sections 556 and 557 of title 5, United States Code, do not
apply to hearings held under this part. As a fact-finding proceeding,
each hearing is nonadversary and there are no formal pleadings or
adverse parties. Any rule issued in a case in which a hearing is held is
not necessarily based exclusively on the record of the hearing.
(b) The Secretary designates a representative to conduct any hearing
held under this part. The General Counsel designates a member of his
staff to serve as legal officer at the hearing.
Sec. 5.33 Adoption of final rules.
Final rules are prepared by representatives of the office concerned
and the Office of the General Counsel. The rule is then submitted to the
Secretary for his consideration. If the Secretary adopts the rule, it is
published in the Federal Register, unless all persons subject to it are
named and are personally served with a copy of it.
Appendix A to Part 5
Pursuant to Sec. 5.1(b), the following officials of the Office of
the Secretary of Transportation are authorized to conduct rulemaking
proceedings under this part, as specified in this appendix:
(1) The General Counsel is authorized to conduct all rule-making
proceedings, except the issuance of final rules, under the Act of March
19, 1918, ch. 24, as amended (15 U.S.C. 261-264); the Uniform Time Act
of 1966 (80 Stat. 107, 15 U.S.C. 260-267); and section 6(e)(5) of the
Department of Transportation Act (80 Stat. 939, 49 U.S.C. 1655 (e)(5)).
(2) The General Counsel is authorized to determine the
practicability of applying the standard time of any standard time zone
to the movements of any common carrier engaged in interstate or foreign
commerce, and, under section 2 of the Act of March 19, 1918, ch. 24, as
amended (15 U.S.C. 262), to issue operating exceptions in any case in
which he determines that it is impractical to apply the standard time.
[Amdt. 5-1, 32 FR 11473, Aug. 9, 1967]
PART 6--IMPLEMENTATION OF EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS--Table of Contents
Subpart A--General Provisions
Sec.
6.1 Purpose of these rules.
6.3 When the Act applies.
6.5 Proceedings covered.
6.7 Eligibility of applications.
6.9 Standards for awards.
6.11 Allowable fees and expenses.
6.13 Delegations of authority.
[[Page 54]]
Subpart B--Information Required from Applicants
6.17 Contents of application.
6.19 Net worth exhibit.
6.21 Documentation of fees and expenses.
Subpart C--Procedures for Considering Applications
6.23 Filing and service of documents.
6.25 Answer to application.
6.27 Comments by other parties.
6.29 Settlement.
6.31 Further proceedings.
6.33 Decision.
6.35 Agency review.
6.37 Judicial review.
6.39 Payment of award.
Authority: Pub. L. 96-481, 94 Stat. 2325.
Source: 48 FR 1070, Jan. 10, 1983, unless otherwise noted.
Subpart A--General Provisions
Sec. 6.1 Purpose of these rules.
The Equal Access to Justice Act, 5 U.S.C. 504 (called ``the Act'' in
this part), provides for the award of attorney fees and other expenses
to eligible individuals and entities who are parties to certain
administrative proceedings (called ``adversary adjudications'') before
government agencies, such as the Department of Transportation or any of
its operating administrations. An eligible party may receive an award
when it prevails over the Department of Transportation or any of its
operating administrations unless the agency's position in the proceeding
was substantially justified or special circumstances make an award
unjust. The rules in this part describe the parties eligible for awards
and the proceedings that are covered. They also explain how to apply for
awards, and the procedures and standards that this agency will use to
make them. The use of the term ``Department'', in this rule, will be
understood to mean the Department of Transportation or any of its
operating administrations, unless otherwise specified. The term ``agency
counsel'' will be understood to mean counsel for the Department of
Transportation or any of its operating administrations.
Sec. 6.3 When the Act applies.
The Act applies to any adversary adjudication pending before this
agency at any time between October 1, 1981, and September 30, 1984. This
includes proceedings begun before October 1, 1981, if final agency
action has not been taken before that date, and proceedings pending on
September 30, 1984.
Sec. 6.5 Proceedings covered.
(a) The Act applies to adversary adjudications conducted by the
Department of Transportation. These are adjudications under 5 U.S.C. 554
in which the position of the Department is represented by an attorney or
other representative who enters an appearance and participates in the
proceeding. Coverage of the Act begins at designation of a proceeding or
issuance of a charge sheet. Any proceeding in which the Department may
prescribe or establish a lawful present or future rate is not covered by
the Act. Proceedings to grant or renew licenses are also excluded, but
proceedings to modify, suspend, or revoke licenses are covered if they
are otherwise ``adversary adjudications.'' For the Department of
Transportation, the types of proceedings generally covered include:
Coast Guard suspension or revocation of licenses, certificates or
documents under 46 U.S.C. 239; 46 CFR part 5; National Highway Traffic
Safety Administration (NHTSA) fuel economy enforcement under 15 U.S.C.
2001 (49 CFR part 511); Federal Highway Administration (FHWA) driver
qualification and compliance order proceedings under 49 U.S.C. 655 (49
CFR part 386).
(b) If a proceeding includes both matters covered by the Act and
matters specifically excluded from coverage, any award made will include
only fees and expenses related to covered issues.
Sec. 6.7 Eligibility of applications.
(a) To be eligible for an award of attorney fees and other expenses
under the Act, the applicant must be a party to an adversary
adjudication for which it seeks an award. The term ``party'' is defined
in 5 U.S.C. 551(3). The applicant must show that it meets all conditions
of eligibility set out in this subpart and in paragraph (b) of this
section.
(b) The types of eligible applicants are as follows:
(1) An individual with a net worth of not more than $1 million;
[[Page 55]]
(2) The sole owner of an unincorporated business who has a net worth
of not more than $5 million, including both personal and business
interests, and not more than 500 employees.
(3) A charitable or other tax-exempt organization as described in
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3))
with not more than 500 employees;
(4) A cooperative association as defined in section 15(a) of the
Agricultural Marketing Act (12 U.S.C. 1141j(a)) with a net worth of not
more than $5 million and not more than 500 employees.
(5) Any other partnership, corporation, association, or public or
private organization with a net worth of not more than $5 million and
not more than 500 employees.
(c) For the purpose of eligibility, the net worth and number of
employees of an applicant shall be determined as of the date the
proceeding was designated.
(d) An applicant who owns an unincorporated business will be
considered an ``individual'' rather than a ``sole owner of an
unincorporated business'' if the issues on which the applicant prevails
are related primarily to personal interests rather than to business
interests.
(e) The number of employees of an applicant includes all persons who
regularly perform services for remuneration for the applicant, under the
applicant's direction and control. Part-time employees shall be included
on a proportional basis.
(f) The net worth and number of employees of the applicant and all
of its affiliates shall be aggregated to determine eligibility. Any
individual, corporation or other entity that directly or indirectly
controls or owns a majority of the voting shares or other interest of
the applicant, or any corporation or other entity of which the applicant
directly or indirectly owns or controls a majority of the voting shares
or other interest, will be considered an affiliate for purposes of this
part, unless the administrative law judge determines that such treatment
would be unjust and contrary to the purposes of the Act in light of the
actual relationship between the affiliated entities. In addition, the
administrative law judge may determine that financial relationships of
the applicant other than those described in this paragraph constitute
special circumstances that would make an award unjust.
(g) An applicant that participates in a proceeding primarily on
behalf of one or more other persons or entities that would be ineligible
is not itself eligible for an award.
(h) An applicant who appears pro se in a proceeding is ineligible
for award of attorney fees. However, eligibility for other expenses is
not affected by pro se representation.
Sec. 6.9 Standards for awards.
(a) An eligible applicant may receive an award for fees and expenses
incurred in connection with a proceeding, or in a significant and
discrete substantive portion of the proceeding, unless the position of
the agency over which the applicant has prevailed was substantially
justified or special circumstances make the award sought unjust. The
burden of proof that an award should not be made to an eligible
prevailing applicant is on the Department of Transportation, where it
has initiated the proceeding, or on the appropriate operating
administration, such as Coast Guard. No presumption arises that the
agency's position was not substantially justified simply because the
agency did not prevail.
(b) An award will be reduced or denied if the applicant has unduly
or unreasonably protracted the proceeding.
Sec. 6.11 Allowable fees and expenses.
(a) Awards will be based on rates customarily charged by persons
engaged in the business of acting as attorneys, agents or expert
witnesses.
(b) No award for the fee of an attorney or agent under these rules
may exceed $75.00 per hour. This amount shall include all other expenses
incurred by the attorney or agent in connection with the case. No award
to compensate an expert witness may exceed the highest market rate at
which the Department pays expert witnesses, or $24.09 per hour,
whichever is less.
(c) In determining the reasonableness of the fee sought for an
attorney, agent
[[Page 56]]
or expert witness, the administrative law judge shall consider the
following:
(1) If the attorney, agent or witness is in private practice, his or
her customary fee for similar services, or, if an employee of the
applicant, the fully allocated cost of the services;
(2) The prevailing rate for similar services in the community in
which the attorney, agent or witness ordinarily performs services;
(3) The time actually spent in the representation of the applicant;
(4) The time reasonably spent in light of the difficulty or
complexity of the issues in the proceeding; and
(5) Such other factors as may bear on the value of the services
provided.
(d) The reasonable cost of any study, analysis, engineering report,
test, project or similar matter prepared on behalf of a party may be
awarded, to the extent that the charge for the service does not exceed
the prevailing rate for similar services, and the study or other matter
was necessary for preparation of the applicant's case.
(e) Fees may be awarded only for work performed after designation of
a proceeding.
Sec. 6.13 Delegations of authority.
The Secretary of Transportation delegates to the head of each
operating administration of this Department the authority to take final
action, other than rulemaking, on matters pertaining to the Act in
actions that require section 554 proceedings. The head of each operating
administration may redelegate this authority.
Subpart B--Information Required from Applicants
Sec. 6.17 Contents of application.
(a) An application for an award of fees and expenses under the Act
shall identify the applicant and the proceeding for which an award is
sought. The application shall show that the applicant has prevailed and
identify the position of an agency or agencies in the proceeding that
the applicant alleges was not substantially justified. Unless the
applicant is an individual, the application shall also state that it did
not have more than 500 employees at the time the proceeding was
initiated, giving the number of employees of the applicant and
describing briefly the type and purpose of its organization or business.
(b) The application shall also include a statement that the
applicant's net worth does not exceed $1 million (if an individual) or
$5 million (for all other applicants, including their affiliates).
However, an applicant may omit this statement if:
(1) It attaches a copy of a ruling by the Internal Revenue Service
that it qualifies as an organization described in section 501(c)(3) of
the Internal Revenue Code (26 U.S.C. 501(c)(3)) or, in the case of a
tax-exempt organization not required to obtain a ruling from the
Internal Revenue Service on its exempt status, a statement that
describes the basis for the applicant's belief that it qualifies under
such section; or
(2) It states that it is a cooperative association as defined in
section 15(a) of the Agricultural Marketing Act (12 U.S.C. 114j(a)).
(c) The application shall state the amount of fees and expenses for
which an award is sought.
(d) The application may also include any other matters that the
applicant wishes this agency to consider in determining whether and in
what amount an award should be made.
(e) The application shall be signed by the applicant or an
authorized officer or attorney of the applicant. It shall also contain
or be accompanied by a written verification under oath or under penalty
of perjury that the information provided in the application is true and
correct.
(f) If the applicant is a partnership, corporation, association, or
organization, or a sole owner of an unincorporated business, the
application shall state that it did not have more than 500 employees at
the time the proceeding was initiated, giving the number of its
employees and describing briefly the type and purpose of its
organization or business.
Sec. 6.19 Net worth exhibit.
(a) Each applicant except a qualified tax-exempt organization or
cooperative association must provide with its application a detailed
exhibit showing the net worth of the applicant and any
[[Page 57]]
affiliates (as defined in this part) when the proceeding was designated.
If any individual, corporation, or other entity directly or indirectly
controls or owns a majority of the voting shares or other interest of
the applicant, or if the applicant directly or indirectly owns or
controls a majority of the voting shares or other interest of any
corporation or other entity, the exhibit must include a showing of the
net worth of all such affiliates or of the applicant including the
affiliates. The exhibit may be in any form convenient to the applicant
that provides full disclosure of the applicant's and its affiliates'
assets and liabilities and is sufficient to determine whether the
applicant qualifies under the standards in this subpart. The
administrative law judge may require an applicant to file additional
information to determine its eligibility for an award.
(b) The net worth exhibit shall describe any transfers of assets
from, or obligations incurred by, the applicant or any affiliate,
occurring in the one-year period prior to the date on which the
proceeding was initiated, that reduced the net worth of the applicant
and its affiliates below the applicable net worth ceiling. If there were
no such transactions, the applicant shall so state.
(c) The net worth exhibit shall be included in the public record of
the proceeding.
Sec. 6.21 Documentation of fees and expenses.
(a) The application shall be accompanied by full documentation of
the fees and expenses, including the cost of any study, analysis,
engineering report, test, project or similar matter, for which an award
is sought.
(b) The documentation shall include an affidavit from any attorney,
agent, or expert witness representing or appearing in behalf of the
party, stating the actual time expended and the rate at which fees and
other expenses were computed and describing the specific services
performed.
(1) The affidavit shall state the services performed. In order to
establish the hourly rate, the affidavit shall state the hourly rate
which is billed and paid by the majority of clients during the relevant
time periods.
(2) If no hourly rate is paid by the majority of clients because,
for instance, the attorney or agent represents most clients on a
contingency basis, the attorney or agent shall provide information about
two attorneys or agents with similar experience, who perform similar
work, stating their hourly rate.
(c) The documentation shall also include a description of any
expenses for which reimbursement is sought and a statement of the
amounts paid and payable by the applicant or by any other person or
entity for the services provided.
(d) The administrative law judge may require the applicant to
provide vouchers, receipts, or other substantiation for any expenses
claimed.
(e) The administrative law judge may, within his or her discretion,
make a determination as to whether a study, conducted by the applicant,
was necessary to the preparation of the applicant's case.
Subpart C--Procedures for Considering Applications
Sec. 6.23 Filing and service of documents.
Any application for an award or other pleading or document related
to an application shall be filed and served on all parties to the
proceeding in the same manner as other pleadings in the proceeding.
Sec. 6.25 Answer to application.
(a) Within 30 calendar days after service of an application, the
agency counsel may file an answer to the application. Unless the agency
counsel requests an extension of time for filing or files a statement of
intent to negotiate under paragraph (b) of this section, failure to file
an answer within the 30-day period may be treated as a consent to the
award request.
(b) If agency counsel and applicant believe that they can reach a
settlement concerning the award, the agency counsel may file a statement
of intent to negotiate. The filing of such a statement shall extend the
time for filing an answer an additional 30 days.
[[Page 58]]
(c) The answer shall explain in detail any objections to the award
requested an identify the facts relied on in support of the Department's
position. If the answer is based on any alleged facts not already in the
record of the proceeding, the Department shall include with the answer
either supporting affidavits or a request for further proceedings under
Sec. 6.3.
Sec. 6.27 Comments by other parties.
Any party to a proceeding, other than the applicant and the
Department may file comments on an application within 30 days after it
is served or on an answer within 15 days after it is served. A
commenting party may not participate further in proceedings on the
application.
Sec. 6.29 Settlement.
The applicant and agency counsel may agree on a proposed settlement
of the award before final action on the application, either in
connection with a settlement of the underlying proceeding, or after the
underlying proceeding has been concluded, in accordance with the
agency's standard settlement procedure. If a prevailing party and the
agency counsel agree on a proposed settlement of an award before an
application has been filed the application shall be filed with the
proposed settlement.
Sec. 6.31 Further proceedings.
(a) Ordinarily, the determination of an award will be made on the
basis of the written record. However, on request of either the applicant
or agency counsel, or on his or her own initiative, the administrative
law judge may order further proceedings, such as an informal conference,
oral argument, additional written submissions or an evidentiary hearing.
Such further proceedings shall be held only when necessary for full and
fair resolution of the issues arising from the application, and shall be
conducted as promptly as possible.
(b) A request that the administrative law judge order further
proceedings under this section shall specifically identify the
information sought or the disputed issues and shall explain why the
additional proceedings are necessary to resolve the issues.
Sec. 6.33 Decision.
The administrative law judge shall issue an initial decision on the
application as soon as possible after completion of proceedings on the
application. The decision shall also include, if at issue, findings on
whether the Department's position was substantially justified, whether
the applicant unduly protracted the proceedings, or whether special
circumstances make an award unjust. If the applicant has sought an award
against more than one agency, the decision shall allocate responsibility
for payment or any award made among the agencies, and shall explain the
reasons for the allocation made.
Sec. 6.35 Agency review.
Where Department review of the underlying decision is permitted,
either the applicant or agency counsel, may seek review of the initial
decision on the fee application, or the Department may decide to review
the decision on its own initiative. If neither the applicant nor the
agency counsel seeks review within 30 days after the decision is issued,
it shall become final.
Sec. 6.37 Judicial review.
Judicial review of final agency decisions on awards may be sought as
provided in 5 U.S.C. 504(c)(2).
Sec. 6.39 Payment of award.
An applicant seeking payment of an award from the Department of
Transportation or any of its operating administrations under this part
shall submit a copy of the Department of Transportation's or any of its
operating administration's final decisions granting the award,
accompanied by a statement that the applicant will not seek review of
the decision in the United States courts. The copy of the decision and
the statement should be submitted to the head of the affected operating
administration or the Secretary of Transportation, where the Department
of Transportation, Office of the Secretary, has initiated the
proceedings.
[[Page 59]]
PART 7--PUBLIC AVAILABILITY OF INFORMATION--Table of Contents
Subpart A--Applicability and Policy
Sec.
7.1 Applicability.
7.3 Policy.
7.5 Definitions.
Subpart B--General
7.11 Administration of part.
7.13 Records containing both available and unavailable information.
7.15 Protection of records.
Subpart C--Time Limits
7.21 Initial determination.
7.23 Final determination.
7.25 Extension.
Subpart D--Publication in the Federal Register
7.31 Applicability.
7.33 Publication required.
Subpart E--Availability of Opinions, Orders, Staff Manuals, Statements
of Policy and Interpretations: Indices
7.41 Applicability.
7.43 Deletion of identifying detail.
7.45 Access to materials and indices.
7.47 Index of public materials.
7.49 Copies.
Subpart F--Availability of Reasonably Described Records
7.51 Applicability.
7.53 Public availability of records.
7.55 Request for records of concern to more than one Government
organization.
7.57 Request for business information submitted by a private party.
Subpart G--Exemptions
7.61 Applicability.
7.63 Records relating to matters that are required by Executive Order
to be kept secret.
7.65 Records related solely to internal personnel rules and practices.
7.67 Records exempted from disclosure by statute.
7.69 Trade secrets and commercial or financial information obtained
from a person and privileged or confidential.
7.71 Intragovernmental exchanges.
7.73 Protection of personal privacy.
7.75 Records or information compiled for law enforcement purposes.
7.77 Reports of financial institutions.
7.79 Geological and geophysical information.
Subpart H--Procedures for Appealing Decisions Not To Disclose Records
And/Or Waive Fees
7.81 General.
Subpart I--Fees
7.91 General.
7.93 Payment of fees.
7.95 Fee schedule.
7.97 Services performed without charge or at a reduced charge.
7.99 Transcripts.
7.101 Copyrighted material.
7.103 Alternative sources of information.
Appendix A to Part 7--Office of The Secretary
Appendix B to Part 7--United States Coast Guard
Appendix C to Part 7--Federal Aviation Administration
Appendix D to Part 7--Federal Highway Administration
Appendix E to Part 7--Federal Railroad Administration
Appendix F to Part 7--National Highway Traffic Safety Administration
Appendix G to Part 7--Urban Mass Transportation Administration
Appendix H to Part 7--Saint Lawrence Seaway Development Corporation
Appendix I to Part 7--Maritime Administration
Appendix J to Part 7--Research and Special Programs Administration
Authority: 5 U.S.C. 552; 31 U.S.C. 9701; 49 U.S.C. 322.
Source: 53 FR 30268, Aug. 11, 1988, unless otherwise noted.
Subpart A--Applicability and Policy
Sec. 7.1 Applicability.
(a) This part implements section 552 of title 5, United States Code,
and prescribes rules governing the availability to the public of records
of the Department of Transportation.
(b) Subpart G of this part describes the records that are not
required to be disclosed under this part.
(c) Appendices A through J of this part:
(1) Describe the places and the times at which records will be
available for inspection and copying;
(2) Define the kinds of records located at each facility;
[[Page 60]]
(3) Identify the location of the indices to such records; and
(4) Identify the officials having authority to deny requests for
disclosure of records under this part.
(d) The Office of the General Counsel may amend appendix A to this
part to reflect any changes in the items covered by that appendix. The
head of an operating element concerned may amend the appendix applicable
to that element to reflect any changes in the items covered by that
appendix.
(e) This part applies only to records that exist as of the date of
receipt of the request by the appropriate office, in accordance with
Sec. 7.53 of this part. The Department is not required to create,
compile or procure a record solely for the purpose of making it
available under this part.
(f) Indices are maintained to reflect all records subject to subpart
E of this part, and are available for public inspection and copying as
provided in appendices A through J to this part.
[53 FR 30268, Aug. 11, 1988, as amended by Amdt. 7-1, 54 FR 10010, Mar.
9, 1989]
Sec. 7.3 Policy.
In implementing section 552 of title 5, United States Code, it is
the policy of the Department of Transportation to make information
available to the public to the greatest extent possible in keeping with
the spirit of that section. Therefore, all records of the Department,
except those that the Department specifically determines must not be
disclosed in the interest of national defense or foreign policy, for the
protection of private rights and commercial interests or for the
efficient conduct of public business to the extent permitted by the
Freedom of Information Act, are declared to be available for public
inspection and copying as provided in this part. Each officer and
employee of the Department is directed to cooperate to this end and to
make records available to the public promptly and to the fullest extent
consistent with this policy. A record may not be withheld from the
public solely because its release might suggest administrative error or
embarrass an officer or employee of the Department.
Sec. 7.5 Definitions.
As used herein, unless the context requires otherwise:
Administrator means the head of each operating element of the
Department and includes the Commandant of the Coast Guard.
Department or DOT means the Department of Transportation, including
the Office of the Secretary and the following operating elements:
(a) The United States Coast Guard.
(b) The Federal Aviation Administration.
(c) The Federal Highway Administration.
(d) The Federal Railroad Administration.
(e) The National Highway Traffic Safety Administration.
(f) The Urban Mass Transportation Administration.
(g) The Saint Lawrence Seaway Development Corporation.
(h) The Maritime Administration.
(i) The Research and Special Programs Administration.
Record includes any writing, drawing, map, recording, tape, film,
photograph or other documentary material by which information is
preserved. The term also includes any such documentary material stored
by computer. However, the term does not include uncirculated personal
notes, papers and other documents created and retained solely for the
personal convenience of Departmental personnel and over which the agency
exercises no control. If a request is made for a personal record of a
DOT official or employee, that request is denied, since it is not within
the Department's authority to disclose such records and the Freedom of
Information Act does not apply to them. However, until the requester's
appeal and litigation rights expire, DOT retains a copy of such records
for the benefit of any reviewing court. This retention does not
constitute control as that term is used here.
Secretary means the Secretary of Transportation or any person to
whom the Secretary has delegated authority in the matter concerned.
[[Page 61]]
Subpart B--General
Sec. 7.11 Administration of part.
Except as provided in subpart H of this part, authority to
administer this part in connection with the records of the Office of the
Secretary (including the Office of the Inspector General) and to issue
determinations with respect to initial requests for such records under
this part is delegated to the Assistant General Counsel for
Environmental, Civil Rights and General Law. Authority to administer
this part in connection with records of each operating element is
delegated to each Administrator, who may redelegate to officers of that
element the authority to administer this part in connection with defined
groups of records. However, each Administrator may redelegate the duties
under subpart H of this part to consider appeals of initial denials of
requests for records only to his or her deputy or to not more then one
other officer who reports directly to the Administrator and who is
located at the headquarters of that operating element.
[53 FR 30268, Aug. 11, 1988, as amended at 59 FR 10061, Mar. 3, 1994]
Sec. 7.13 Records containing both available and unavailable information.
If a record contains information that the Department determines
cannot be disclosed, but also contains reasonably segregable information
that may not be withheld, the latter information shall be made
available.
Sec. 7.15 Protection of records.
(a) No person may, without permission, remove any record made
available to him or her for inspection and copying under this part from
the place where it is made available. In addition, no person may steal,
alter, mutilate, obliterate or destroy, in whole or in part, such a
record.
(b) Section 641 of title 18 of the United States Code provides, in
pertinent part, for criminal penalties for embezzlement or theft of
government records.
(c) Section 2071 of title 18 of the United States Code provides, in
pertinent part, for criminal penalties for the willful and unlawful
concealment, mutilation or destruction of, or the attempt to conceal,
mutilate or destroy, government records.
Subpart C--Time Limits
Sec. 7.21 Initial determination.
An initial determination whether to release a record requested
pursuant to subpart F shall be made within ten working days after the
request is received by the appropriate office in accordance with section
7.53, except that this time limit may be extended by up to ten working
days in accordance with Sec. 7.25. The person making the request will be
notified immediately of such determination. If the determination is to
grant the request, the desired record shall be made available as
promptly as possible. If the determination is to deny the request the
person making the request shall be notified in writing, at the same time
he or she is notified of such determination, of the reason for the
determination; the right of such person to appeal the determination; and
the name and title of each person responsible for the initial
determination to deny the request.
Sec. 7.23 Final determination.
A determination with respect to any appeal made pursuant to
Sec. 7.81 shall be made within twenty working days after receipt of such
appeal except that this time limit may be extended by up to ten working
days in accordance with Sec. 7.25. The person making the request will be
notified immediately of such determination, pursuant to Sec. 7.81 of
this part.
Sec. 7.25 Extension.
In unusual circumstances as specified in this section, the time
limits prescribed in Sec. 7.21 and Sec. 7.23 may be extended by written
notice to the person making the request setting forth the reasons for
such extension and the date on which a determination is expected to be
dispatched. Such notice may not specify a date that would result in a
cumulative extension of more than ten working days. As used in this
subparagraph, unusual circumstances means,
[[Page 62]]
but only to the extent reasonably necessary to the proper processing of
the particular request:
(a) The need to search for and collect the requested records from
field facilities or other establishments that are separate from the
office processing the request;
(b) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records which are demanded in
a single request; or
(c) The need for consultation, which shall be conducted with all
practicable speed, with any other agency or DOT operating element having
a substantial interest in the determination of the request or among two
or more components of the agency having substantial subject-matter
interest therein.
Subpart D--Publication in Federal Register
Sec. 7.31 Applicability.
This subpart implements section 552(a)(1) of title 5, United States
Code, and prescribes rules governing the publication in the Federal
Register of the following:
(a) Descriptions of the organization of the Department, including
its operating elements and the established places at which, the officers
from whom, and the methods by which, the public may secure information
and make submittals or requests or obtain decisions;
(b) Statements of the general course and methods by which the
Department's functions are channeled and determined, including the
nature and requirements of all formal and informal procedures available;
(c) Rules of procedure, descriptions of forms available or the
places at which forms may be obtained, and instructions as to the scope
and contents of all papers, reports, or examinations;
(d) Substantive rules of general applicability adopted as authorized
by law and statements of general policy or interpretations of general
applicability formulated and adopted by the Department; and
(e) Each amendment, revision, or repeal of any material listed in
paragraphs (a) through (d) of this section.
Sec. 7.33 Publication required.
(a) General. The material described in Sec. 7.31 shall be published
in the Federal Register. For the purposes of this paragraph, material
that will reasonably be available to the class of persons affected by it
will be considered to be published in the Federal Register if it has
been incorporated by reference therein with the approval of the Director
of the Federal Register.
(b) Effect of nonpublication. Except to the extent that a person has
actual and timely notice of the terms thereof, no person may in any
manner be required to resort to, or be adversely affected by, any
procedure or matter required to be published in the Federal Register,
but not so published.
Subpart E--Availability of Opinions, Orders, Staff Manuals, Statements
of Policy and Interpretations: Indices
Sec. 7.41 Applicability.
(a) This subpart implements section 552(a)(2) of title 5, United
States Code. It prescribes the rules governing the availability, for
public inspection and copying, of the following:
(1) Any final opinion (including a concurring or dissenting opinion)
or order made in the adjudication of a case.
(2) Any policy or interpretation that has been adopted under the
authority of the Department, including any policy or interpretation
concerning a particular factual situation, if that policy or
interpretation can reasonably be expected to have precedential value in
any case involving a member of the public in a similar situation.
(3) Any administrative staff manual or instruction to staff that
affects any member of the public, including the prescribing of any
standard, procedure, or policy that, when implemented, requires or
limits any action of any member of the public or prescribes the manner
of performance of any activity by any member of the public. However,
this does not include staff manuals or instructions to staff concerning
internal operating rules, practices, guidelines and procedures for
Departmental
[[Page 63]]
inspectors, investigators, law enforcement officers, examiners,
auditors, and negotiators and other information developed predominantly
for internal use, the release of which could significantly risk
circumvention of agency regulations or statutes. Indices of materials
listed in this paragraph shall be maintained as specified in appendices
A-J of this part.
(b) Any material listed in paragraph (a) of this section that is not
made available for public inspection and copying, or that is not indexed
as required by Sec. 7.45, may not be cited, relied on, or used as
precedent by the Department to adversely affect any member of the public
unless the person to whose detriment it is relied on, used, or cited has
had actual timely notice of that material.
(c) This subpart does not apply to material that is published in the
Federal Register or is covered by subpart G of this part.
Sec. 7.43 Deletion of identifying detail.
Whenever it is determined to be necessary to prevent a clearly
unwarranted invasion of personal privacy, identifying details shall be
deleted from any record covered by subpart E of this part that is
published or made available for inspection. A full explanation of the
justification for the deletion shall accompany the record published or
made available for inspection.
Sec. 7.45 Access to materials and indices.
(a) Except as provided in paragraph (b) of this section, material
listed in Sec. 7.41(a) shall be made available for inspection and
copying by any member of the public at document inspection facilities of
the Department. The index of materials available at each facility shall
be published in the Federal Register quarterly and shall also be located
at the facility. Information as to the kinds of materials available at
each facility may be obtained from the facility or the headquarters of
the operating element of which it is a part.
(b) The material listed in Sec. 7.41(a) that is published and
offered for sale shall be indexed, but is not required to be kept
available for public inspection. Whenever practicable, however, it will
be made available for public inspection at any document inspection
facility maintained by the Office of the Secretary or an operating
element, whichever is concerned.
Sec. 7.47 Index of public materials.
The index of material subject to public inspection and copying under
this subpart shall cover all material issued, adopted, or promulgated
after July 4, 1967; however, earlier material may be included in the
index to the extent practicable. Each index shall contain instructions
on how to use it.
Sec. 7.49 Copies.
Copies of any material covered by this subpart that is not published
and offered for sale may be ordered, upon payment of the appropriate
fee, from the office indicated in Sec. 7.53. Copies will be certified
upon request and payment of the fee prescribed in Sec. 7.95(f).
Subpart F--Availability of Reasonably Described Records
Sec. 7.51 Applicability.
This subpart implements section 552(a)(3) of title 5, United States
Code, and prescribes the regulations governing public inspection and
copying of reasonably described records.
Sec. 7.53 Public availability of records.
(a) Each person desiring access to or a copy of a record covered by
this subpart shall comply with the following provisions:
(1) A written request must be made for the record.
(2) Such request should indicate that it is being made under the
Freedom of Information Act.
(3) The envelope in which the request is sent should be prominently
marked: ``FOIA.''
(4) The request should be addressed to the appropriate office as set
forth in paragraph (c) of this section.
(b) If the requirements of paragraph (a) of this section are not
met, treatment of the request will be at the discretion of the agency.
The ten-day time limit described in Sec. 7.21 shall not start to run
until the request has been identified, or would have been identified
with the exercise of due diligence,
[[Page 64]]
by an employee of the Department as a request pursuant to the Freedom of
Information Act and has been received by the office to which it should
have been originally sent.
(c) Each person desiring access to or a copy of a record covered by
this subpart that is located in the Office of the Secretary shall make a
written request to the Assistant General Counsel for Environmental,
Civil Rights, and General Law, U.S. Department of Transportation, 400
Seventh Street SW., Washington, DC 20590. Each person desiring access to
or a copy of a record covered by this subpart that is located in an
operating element shall make a written request to that element at the
address set forth in the applicable appendix to this part. If the person
making the request does not know where in the Department the record is
located, he or she may make inquiry of the Assistant General Counsel for
Environmental, Civil Rights, and General Law to its location.
(d) Each request should describe the particular record to the
fullest extent possible. The request should describe the subject matter
of the record, and, if known, indicate the date when it was made, the
place where it was made, and the person or office that made it. If the
description does not enable the office handling the request to identify
or locate the record sought, that office shall notify the person making
the request and, to the extent possible, indicate the additional data
required.
(e) Each record made available under this subpart shall be made
available for inspection and copying during regular business hours at
the place where it is located, or photocopying may be arranged with the
copied materials being mailed to the requester upon payment of the
appropriate fee. Original records ordinarily will be copied except in
those instances where, in the Department's judgment, copying would
endanger the quality of the original or raise the reasonable possibility
of irreparable harm to the record. In these instances, copying of the
original would not be in the public interest. In any event, original
records will not be released from custody.
(f) If a requested record is known not to exist in the files of the
agency, or to have been destroyed or otherwise disposed of, the
requester shall be so notified.
(g) Fees will be determined in accordance with subpart I and the
applicable appendix or appendices to this part.
(h) Notwithstanding paragraphs (a) through (g) of this section,
informational material, such as news releases, pamphlets and other
materials of that nature that are ordinarily made available to the
public as a part of any information program of the Government will be
available upon oral or written request. There will be no fee for
individual copies of that material so long as they are in supply. In
addition, the Department will continue to respond, without charge, to
routine oral or written inquiries that do not involve the furnishing of
records.
[53 FR 30268, Aug. 11, 1988, as amended at 59 FR 10061, Mar. 3, 1994]
Sec. 7.55 Request for records of concern to more than one Government organization.
(a) If the release of a record covered by this subpart would be of
concern to both this Department and another Federal agency, the
determination as to release will be made only after consultation with
the other interested agency.
(b) If the release of the record covered by this subpart would be of
concern to both this Department and a State or local government, a
territory or possession of the United States, or a foreign government,
the determination as to release will be made by the Department only
after consultation with the other interested State or local government
or foreign government.
(c) Whenever a request is made for: (1) A record containing
information that has been classified by another Federal agency or that
may be eligible for classification by such an agency; or (2) a record
containing information that relates to an investigation of a possible
violation of criminal law or to a law enforcement proceeding and that
was generated or originated by another Federal agency, the Office of the
Secretary or the responsible operating element, whichever the case be,
shall refer the request, or the portion thereof that pertains to the
record in question, to
[[Page 65]]
the originating agency for a releasability determination. The requester
shall be notified of the referral and informed of the name and address
of the agency to which the request, or portion thereof, has been
referred, unless such notification might jeopardize a law enforcement
proceeding or have an adverse effect on national security matters.
Sec. 7.57 Request for business information submitted by a private party.
(a) If a request is received for information which has been
designated by the submitted as confidential commercial information, or
which the Department has some other reason to believe may contain trade
secrets or other commercial or finanical information of the type
described in Sec. 7.69 of subpart G, the submitter of such information
shall, except as is provided in paragraphs (c) and (d) of this section,
be notified expeditiously and asked to submit any written objections to
release. At the same time, the requester shall be notified that notice
and an opportunity to comment are being provided to the submitter. The
submitter shall, to the extent permitted by law, be afforded a
reasonable period of time within which to provide a detailed statement
of any such objections. The submitter's statement shall specify all
grounds for withholding any of the information. The burden shall be on
the submitter to identify all information for which exempt treatment is
sought and to persuade the agency that the information should not be
disclosed.
(b) The Office of the Secretary or the responsible operating
element, whichever the case may be, shall, to the extent permitted by
law, consider carefully a submitter's objections and specific grounds
for nondisclosure prior to determining whether to disclose business
information. Whenever a decision is made to disclose the business
information over the objection of a submitter, the office responsible
for the decision shall forward to the submitter a written notice which
shall include:
(1) A statement of the reasons for which the submitter's disclosure
objections were not substained;
(2) A description of the business information to be disclosed; and
(3) A specific disclosures date.
Such notice of intent to disclose shall, to the extent permitted by law,
be forwarded to the submitter a reasonable number of days prior to the
specified date upon which disclosure is intended. At the same time the
submitter is notified, the requester shall be notified of the decision
to disclose information.
(c) The notice requirements of this section shall not apply if:
(1) The office responsible for the decision determines that the
information should not be disclosed;
(2) The information lawfully has been published or otherwise made
available to the public; or
(3) Disclosure of the information is required by law (other than 5
U.S.C. 552).
(d) The procedures established in this section shall not apply in
the case of:
(1) Business information submitted to the National Highway Traffic
Safety Administration.
(2) Information contained in a document to be filed or in oral
testimony that is sought to be withheld pursuant to Rule 39 of the Rules
of Practice (14 CFR 302.39), and in Aviation Economic Proceedings.
(e) Whenever a requester brings suit seeking to compel disclosure of
confidential commercial information, the Office of the Secretary or the
responsible operating element, whichever the case may be, shall promptly
notify the submitter.
Subpart G--Exemptions
Sec. 7.61 Applicability.
This subpart implements section 552(b) of title 5, United States
Code, which exempts certain records from the public disclosure
requirements of section 552(a). The Department will, however, release a
record authorized to be withheld under Secs. 7.65 through 7.79 unless it
determines that the release of that record would be inconsistent with a
purpose of the section concerned. Examples given in Secs. 7.63 through
7.79 of records included within a particular statutory exemption are
only illustrative and do not define all types of records covered by the
exemption.
[[Page 66]]
Sec. 7.63 Records relating to matters that are required by Executive Order to be kept secret.
Records relating to matters that are specifically authorized to be
kept secret in the interest of national defense or foreign policy shall
be exempt from public disclosure. Records exempt under this provision
include but are not limited to those within the scope of the following,
and any further amendment of any of them, but only to the extent that
the records are in fact properly classified pursuant to such Executive
Order. These records shall not be made available for public inspection.
(a) Executive Order 12356 of April 2, 1982 (3 CFR, 1982 Comp., p.
166);
(b) Executive Order 12065 of June 28, 1978, as as amended, (3 CFR,
1978 Comp., p. 190);
(c) Executive Order 11652 of March 8, 1972 (3 CFR, 1971-1975 Comp.,
p. 678);
(d) Executive Order 10865 of February 20, 1960 (3 CFR, 1959-1963
Comp., p. 398);
(e) Executive Order 10501 of November 5, 1953 (3 CFR, 1949-1953
Comp., p. 979); and
(f) Executive Order 10104 of February 1, 1950 (3 CFR, 1949-1953
Comp., p. 298).
Sec. 7.65 Records related solely to internal personnel rules and practices.
(a) Records related solely to internal personnel rules and practices
that are within the statutory exemption include memoranda pertaining to
personnel matters such as staffing policies and policies and procedures
for the hiring, training, promotion, demotion, and discharge of
employees, and management plans, records, or proposals involving labor-
management relationships. Also included within the statutory exemption
are staff manuals or instructions concerning predominantly internal
operating rules, practices, guidelines, procedures, and administrative
data and handling instructions for Departmental personnel such as
inspectors, investigators, examiners, auditors, and negotiators.
(b) The purpose of this section is to authorize the protection of
those records in which there is slight public interest or which, if
released, would substantially impair the performance of duties of
Departmental employees or significantly risk circumvention of agency
regulations or statutes.
Sec. 7.67 Records exempted from disclosure by statute.
(a) Records relating to matters that are specifically exempted from
disclosure by statute (other than section 552(b) of title 5, United
States Code) include, but are not limited to, those covered by the
following:
(1) Section 3771 of title 18, United States Code, in conjunction
with Rule 6(e) of the Federal Rules of Criminal Procedure, protecting
grand jury material.
(2) Section 106 of the Highway Safety Act of 1966 (Pub. L. 89-564,
80 Stat. 731), protecting information identifying individuals who are
the subject of highway traffic accident investigations.
(3) Section 206(c)(1) of the National Driver Register Act of 1982
(23 U.S.C. 401 (note)) and the National Driver Register Act, Public Law
86-660, as amended (23 U.S.C. 313 (note)), protecting information
concerning individuals included in reports of State driver licensing
officials to the Department.
(4) Section 3315(b) of title 46, United States Code, protecting the
source of reports of defects and imperfections of vessels.
(5) Section 7319 of title 46, United States Code, protecting the
names, addresses, and next of kin of merchant seamen and entries made in
records pertaining to merchant seamen.
(6) Section 10311(d) of title 46, United States Code, protecting
records of the discharge of merchant seamen.
(7) Section 1173(c)(1)(D)(3) of title 46, United States Code,
protecting wage and benefit cost data for employees covered by
collective-bargaining agreements for vessels receiving operating-
differential subsidy payments.
(8) Section 1173(d) of title 46, United States Code, protecting
certain foreign wage cost computations associated with the operation of
foreign vessels.
(9) Section 6102 of title 46, United States Code, protecting
information derived from boating safety accident reports compiled by a
State.
(10) Section 316(d)(2) of the Federal Aviation Act of 1958, as
amended (49
[[Page 67]]
U.S.C. 1357(d)(2)), protecting information obtained or generated in the
conduct of research and development of systems and procedures to protect
persons and property aboard aircraft.
(11) Section 902(f) of the Federal Aviation Act of 1958, as amended
(49 U.S.C. 1472(f)), relating to information obtained by examining the
accounts, records, or memoranda of an air carrier.
(12) Section 1001 of the Federal Aviation Act of 1958, as amended
(49 U.S.C. 1481), so far as it relates to the secrecy of acts and
proceedings when requested on grounds of national defense.
(13) Section 1104 of the Federal Aviation Act of 1958, as amended
(49 U.S.C. 1504), protecting information, which, if disclosed, would
prejudice the formulation and presentation of positions of the United
States in international aviation negotiations or adversely affect the
competitive position of any United States air carrier in foreign air
transportation.
(b) [Reserved]
Sec. 7.69 Trade secrets and commercial or financial information obtained from a person and privileged or confidential.
(a) Trade secrets and commercial or financial information obtained
from a person and privileged or confidential are within this statutory
exemption. This includes:
(1) Commercial or financial information which, if disclosed, is
likely to cause substantial harm to the competitive position of the
submitter of the requested information;
(2) Commercial or financial information which if disclosed, is
likely to impair the Government's ability to obtain necessary
information in the future through purely voluntary cooperation;
(3) Commercial or financial information customarily subjected to an
attorney-client or similar evidentiary privilege; or
(4) Information that constitutes a trade secret.
(5) Commercial or financial information which, if disclosed, would
impair any other identifiable government interest or hinder agency
officials in carrying out their mandate.
(b) The purpose of this section is to exempt from mandatory
disclosure trade secrets and commercial or financial information
obtained from a person and privileged or confidential. This section
assures the confidentiality of trade secrets and commercial or financial
information obtained by the Department through questionnaires and
required reports to the extent that the information would not
customarily be made public by the person from whom it was obtained. In
any case in which the Department has obligated itself not to disclose
trade secrets and commercial or financial information it receives, this
section indicates the Department's intention to honor that obligation to
the extent permitted by law. In addition, this section recognizes that
certain materials, such as research data and materials, formulae,
designs, and architectural drawings, have significance as items of
property acquired, in many cases, at public expense. Such material may
be treated as exempt from mandatory disclosure in any case in which
similar proprietary material in private hands would be held in
confidence. To the extent feasible, any person submitting information to
the Department which may qualify for this exemption should request that
the information not be disclosed.
Sec. 7.71 Intragovernmental exchanges.
(a) Any record prepared by a Government officer or employee
(including those prepared by a consultant or advisory body) for internal
Government use is within the statutory exemption to the extent it
contains:
(1) Opinions, advice, deliberations, or recommendations made in the
course of developing official action by the Government, but not actually
made a part of that official action.
(2) Confidential communications between a Government attorney or an
attorney acting on behalf of the Government and his or her client
relating to a legal matter for which the client has sought professional
advice.
(3) Information prepared by a Government attorney or an attorney
acting on behalf of the Government in anticipation of litigation.
(4) Confidential commercial information generated by the Government
where disclosure of such information
[[Page 68]]
would prejudice the Government's bargaining position in commercial
transactions.
Examples of records covered by this section include staff memoranda
containing advice, opinions, recommendations, suggestions, or exchanges
of views, preliminary to final agency decision or action, with the
exception of factual information, unless such information is
inextricably intertwined with deliberative material; draft documents
such as draft versions of audit reports prepared by the Office of
Inspector General; appraisals of property to be condemned by the
Government; legal opinions and/or advice rendered by a Government
attorney or an attorney acting on behalf of the Government and based on
information communicated in confidence by the client; memoranda and
other documents prepared by a Government attorney or an attorney acting
on behalf of the Government setting forth strategy with regard to
pending or probable future litigation and not otherwise made a matter of
public record in a particular legal proceeding; and material intended
for public release at a specified future time, if premature disclosure
would be detrimental to orderly decisionmaking by the Department.
(b) The purpose of this section is to protect internal records that
are not routinely available by law to another party in litigation with
the Government.
Sec. 7.73 Protection of personal privacy.
(a) Any of the following personnel, medical or similar records are
within the statutory exemption if disclosure would result in a clearly
unwarranted invasion of personal privacy:
(1) Personnel and background records personal to any officer or
employee of the Department, or other person, including his or her
residential address.
(2) Medical histories and medical records concerning individuals,
including applicants for licenses.
(3) Any other detailed record containing personal information
identifiable with a particular person.
(b) The purpose of this section is to provide a proper balance
between the protection of personal privacy and the preservation of the
public's right to Department information by authorizing the protection
of intimate details of a personal nature which, if released, might
unjustifiably invade an individual's privacy.
Sec. 7.75 Records or information compiled for law enforcement purposes.
(a) Files compiled for law enforcement purposes by the Department or
any other Federal, State, or local agency, including those files
compiled for the enforcement of regulations, are within the statutory
exemption to the extent that production of such records or information
could reasonably be expected to interfere with enforcement proceedings;
would deprive a person of a right to a fair trial or an impartial
adjudication; could reasonably be expected to constitute an unwarranted
invasion of personal privacy; could reasonably be expected to disclose
the identity of a confidential source and, in the case of a record
compiled for a criminal law enforcement authority in the course of a
criminal investigation, or by an agency conducting a lawful national
security intelligence investigation, information furnished by a
confidential source; would disclose techniques and procedures for law
enforcement investigations or prosecutions, or would disclose guidelines
for law enforcement investigations or prosecutions if such disclosure
could reasonably be expected to risk circumvention of the law; or could
reasonably be expected to endanger the life or physical safety of any
individual.
(b) The purpose of this section is to protect law enforcement files
from premature disclosure, including files prepared in connection with
related judicial or administrative proceedings. It includes the
enforcement not only of criminal statutes but all kinds of laws and
regulations.
Sec. 7.77 Reports of financial institutions.
Any material contained in or related to any examination, operating,
or condition report prepared by, or on behalf of, or for the use of an
agency responsible for the regulation or supervision of financial
institutions is within the statutory exemption.
[[Page 69]]
Sec. 7.79 Geological and geophysical information.
Any geological or geophysical information and data (including maps)
concerning wells is within the statutory exemption.
Subpart H--Procedures for Appealing Decisions Not To Disclose Records
and/or Waive Fees
Sec. 7.81 General.
(a) Each officer or employee of the Department who, upon a request
by a member of the public for a record under this part, makes a
determination that the record is not to be disclosed, shall give a
written statement of the reasons for that determination to the person
making the request; and indicate the names and titles or positions of
each person responsible for the initial determination not to comply with
such request, and the availability of an appeal within the Department.
(b) When a request for waiver of fees, pursuant to Sec. 7.97(c) of
this part, has been denied in whole or in part, the requester may appeal
the denial.
(c) Any person to whom a record has not been made available within
the time limits established by subpart C and any person who has been
given a determination pursuant to paragraph (a) of this section that a
record he or she requested will not be disclosed may appeal to the head
of the operating element concerned or, in the case of the Office of the
Secretary, to the General Counsel of the Department. Any person who has
not received an initial determination on his or her request within the
time limits established by subpart C can seek immediate judicial review.
Judicial review may be sought without the need to submit first an
administrative appeal. Judicial review may be sought in the United
States District Court for the judicial district in which the requester
resides or has his or her principal place of business, the judicial
district in which the records are located, or in the District of
Columbia. A determination that a record will not be disclosed and/or
that a request for a fee waiver or reduction will not be granted does
not constitute final agency action for the purpose of judicial review
unless:
(1) It was made by the head of the operating element concerned (or
his or her designee), or the General Counsel, as the case may be; or
(2) The applicable time limit has passed without a determination on
the initial request or the appeal, as the case may be, having been made.
(d) Each appeal must be made in writing within thirty days from the
date of receipt of the original denial and should include all
information and arguments relied upon by the person making the request.
Such letter should indicate that it is an appeal from a denial of a
request made under the Freedom of Information Act. The envelope in which
the appeal is sent should be prominently marked: ``FOIA Appeal.'' If
these requirements are not met, the twenty-day limit described in
Sec. 7.23 will not begin to run until the appeal has been identified, or
would have been identified with the exercise of due diligence, by an
employee of the Department as an appeal under the Freedom of Information
Act and has been received, or should have been received, by the
appropriate office.
(e) Whenever the head of the operating element concerned, or the
General Counsel, as the case may be, determines it to be necessary, he
or she may require the person making the request to furnish additional
information, or proof of factual allegations, and may order other
proceedings appropriate in the circumstances. The decision of the head
of the operating element concerned, or the General Counsel, as the case
may be, as to the availability of the record or the appropriateness of a
fee waiver or reduction constitutes final agency action for the purpose
of judicial review.
(f) The decision of the head of the operating element concerned, or
the General Counsel, as the case may be, not to disclose a record under
this part or not to grant a request for a fee waiver or reduction is
considered to be a denial by the Secretary for the purpose of section
552(a)(4)(B) of title 5, United States Code.
(g) Any final determination by the head of an operating element or
his or her delegee identified in appendices B
[[Page 70]]
through J of this part, not to disclose a record under this part, or not
to grant a request for a fee waiver or reduction, is subject to
concurrence by the General Counsel or his or her designee.
(h) Upon a determination that an appeal will be denied, the
requester shall be informed in writing of the reasons for the denial of
the request, and the names and titles or positions of each person
responsible for the determination, and that judicial review of the
determination is available in the United States District Court for the
judicial district in which the requester resides or has his or her
principal place of business, the judicial district in which the
requested records are located, or the District of Columbia.
Subpart I--Fees
Sec. 7.91 General.
(a) This subpart prescribes fees for services performed for the
public under subparts E and F of this part by the Department.
(b) All terms defined by the Freedom of Information Act apply to
this subpart, and the term hourly rate means the actual hourly base pay
for a civilian employee or, for members of the Coast Guard, the
equivalent hourly pay rate computed using a 40 hour week and the
member's normal basic pay and allowances.
(c) This subpart applies to all employees of the Department,
including those of non-appropriated fund activities of the United States
Coast Guard and the Maritime Administration.
(d) This subpart does not apply to any special study, special
statistical compilation, table, or other record requested under 49
U.S.C. 329(c). The fee for the performance of such a service is the
actual cost of the work involved in compiling the record. All such fees
received by the Department in payment of the cost of such work are
deposited in a separate account administered under the direction of the
Secretary, and may be used for the ordinary expenses incidental to
providing the information.
(e) This subpart does not apply to requests from record subjects for
records about themselves filed in Departmental systems of records. Fees
for such requests are to be determined in accordance with the Privacy
Act of 1974, as implemented by Department of Transportation regulations
(49 CFR part 10).
Sec. 7.93 Payment of fees.
(a) The fees prescribed in this subpart may be paid by check, draft,
or money order, payable to the Treasury of the United States. However,
in the case of the Saint Lawrence Seaway Development Corporation, all
fees resulting from a request to that operating element shall be made
payable to the Saint Lawrence Seaway Development Corporation.
(b) Charges may be assessed by the Department for time spent
searching for requested records even if the search fails to locate the
records or the records located are determined to be exempt from
disclosure. In addition, if records are requested for commercial use,
the Department may assess a fee for time spent reviewing any responsive
records located to determine whether they are exempt from disclosure.
(c) When it is estimated that the search charges, review charges,
duplication fees or any combination of fees that could be charged to the
requester will likely exceed $25, the requester shall be notified of the
estimated amount of the fees, unless the requester has indicated in
advance his or her willingness to pay fees as high as those anticipated.
The notice shall also inform the requester how to consult with
appropriate Departmental officials with the object of reformulating the
request to meet his or her needs at a lower cost.
(d) Payment of fees may be required by the Department prior to
actual duplication of delivery of any releasable records to a requester.
However, advance payment of fees, i.e., payment before work is commenced
or continued on a request, may not be required unless:
(1) Allowable charges that a requester may be required to pay are
likely to exceed $250; or
(2) The requester has failed to pay within 30 days of the billing
date fees charged for a previous FOIA request.
[[Page 71]]
(e) When paragraph (d)(1) of this section applies, the requester
shall be notified of the likely cost and, where he or she has a history
of prompt payment of FOIA fees, requested to furnish satisfactory
assurance of full payment. Where no history of payment exists, the
requester may be required to make advance payment of any amount up to
the full estimated charges.
(f) When paragraph (d)(2) of this section applies, the requester
shall be required to demonstrate that the fee has, in fact, been paid or
to pay the full amount owed, including any applicable interest, late
handling charges and penalty charges as discussed below. The requester
shall also be required to make an advance payment of the full amount of
the estimated fee before processing of a new request or continuation of
a pending request is begun.
(g) The Department will assess interest on an unpaid bill starting
on the 31st day following the day on which the notice of the amount due
is first mailed to the requester. Interest will accrue from the date of
the notice of amount due and will be at the rate prescribed in section
3717 of title 31, U.S.C. Receipt by the Department of a payment for the
full amount of the fees owed within 30 calendar days after the date of
the initial billing will stay the accrual of interest, even if the
payment has not been processed.
(h) If payment of fees charged is not received within 30 calendar
days after the date the initial notice of the amount due is first mailed
to the requester, an administrative charge will be assessed by the
Department to cover the cost of processing and handling the delinquent
claim. In addition, a penalty charge will be applied with respect to any
principal amount of a debt that is more than 90 days past due. Where
appropriate, other steps permitted by federal debt collection statutes,
including disclosure to consumer reporting agencies and use of
collection agencies, will be utilized by the Department to encourage
payment of amounts overdue.
(i) In any instance where the Department reasonably believes that a
requester or a group of requesters acting in concert is attempting to
break down a single FOIA request into a series of requests for the sole
purpose of evading the payment of otherwise applicable fees, the
Department will aggregate the requests and determine the applicable fees
on the basis of the aggregation.
(j) Notwithstanding any other provision of this subpart, when the
total amount of fees that could be charged for a particular request (or
aggregation of requests) under subpart F, after taking into account all
services which must be provided at no charge or at a reduced charge, is
less than $10.00 the Department will not make any charge for fees.
Sec. 7.95 Fee schedule.
(a) The standard fee for a manual search to locate a record
requested under subpart F of this part, including making it available
for inspection, will be determined by multiplying each searcher's hourly
rate plus 16 percent by the time spent conducting the search.
(b) The standard fee for a computer search for a record requested
under subpart F of this part is the actual cost. This includes the cost
of operating the central processing unit (CPU) for the time directly
attributable to searching for records responsive to a FOIA request and
the operator/programmer salary (hourly rate plus 16 percent) costs
apportionable to the search.
(c) The standard fee for review of records requested under subpart F
of this part is the reviewer's hourly rate plus 16 percent multiplied by
the time he or she spent determining whether the requested records are
exempt from mandatory disclosure.
(d) The standard fee for duplication of a record requested under
subpart F of this part is determined as follows:
(1) Per copy of each page (not larger than 8\1/2\ x 14 inches)
reproduced by photocopy or similar methods (includes costs of personnel
and equipment), $0.10.
(2) Per copy prepared by computer, such as tapes or printout, Actual
costs, including operator time.
(3) Per copy prepared by any other method of duplication, Actual
direct cost of production.
(e) Depending upon the category of requester, and the use for which
the
[[Page 72]]
records are requested, in some cases the fees computed in accordance
with the above standard fee schedule must either be reduced or not
charged, as prescribed by other provisions of this subpart.
(f) The following special services not required by the FOIA may be
made available upon request, at the stated fees:
Certified copies of documents, with Department of Transportation or
operating element seal (where authorized), $4.00, or true copy, without
seal, $2.00.
Sec. 7.97 Services performed without charge or at a reduced charge.
(a) No fee is to be charged to any requester making a request under
subpart F for the first two hours of search time unless the records are
requested for commercial use. For purposes of this subpart, when a
computer search is required two hours of search time will be considered
spent when the hourly costs of operating the central processing unit
used to perform the search added to the computer operator's salary cost
(hourly rate plus 16 per cent) equals two hours of the computer
operator's salary costs (hourly rate plus 16 percent).
(b) No fee is to be charged for any time spent searching for a
record requested under subpart F if the records are not for commercial
use and the requester is a representative of the news media, an
educational institution whose purpose is scholarly research, or a non-
commercial scientific institution whose purpose is scientific research.
(c) No fee is to be charged for duplication of the first 100 pages
(standard paper, not larger than 8\1/2\ x 14 inches) of records provided
to any requester in response to a request under subpart F unless the
records are requested for commercial use.
(d) No fee is to be charged to any requester for review of a record
requested under subpart F to determine whether it is exempt from
disclosure unless the records are requested for commercial use. A review
charge may not be charged except with respect to an initial review to
determine the applicability of a particular exemption to a particular
record or portion of a record. A review charge may not be assessed for
review at the administrative appeal level. When records or portions of
records withheld in full under an exemption which is subsequently
determined not to apply are reviewed again to determine the
applicability of other exemptions not previously considered, this is
considered an initial review for purposes of assessing a review charge.
(e) Documents will be furnished without charge or at a reduced
charge if the Assistant General Counsel for Environmental, Civil Rights,
and General Law, or his or her designee, or official(s) having initial
denial authority, as the case may be, determine that disclosure of the
information is in the public interest because it is likely to contribute
significantly to public understanding of the operations or activities of
the government and is not primarily in the commercial interest of the
requester.
(f) Factors to be considered by officials of the Department
authorized to determine whether a waiver or reduction of fees will be
granted include:
(1) Whether the subject matter of the requested records concerns the
operations or activities of the Federal government;
(2) Whether the disclosure is likely to contribute to an
understanding of Federal government operations or activities;
(3) Whether disclosure of the requested information will contribute
to the understanding of the public at large, as opposed to the
individual understanding of the requester or a narrow segment of
interested persons;
(4) Whether the contribution to public understanding of Federal
government operations or activities will be significant;
(5) Whether the requester has a commercial interest that would be
furthered by the requested disclosure; and
(6) Whether the magnitude of any identified commercial interest of
the requester is sufficiently large in comparison with the public
interest in disclosure that disclosure is primarily in the commercial
interest of the requester.
[53 FR 30268, Aug. 11, 1988, as amended at 59 FR 10061, Mar. 3, 1994]
[[Page 73]]
Sec. 7.99 Transcripts.
Transcripts of hearings or oral arguments are available for
inspection. Where transcripts are prepared by a nongovernmental
contractor, and the contract permits the Department to handle the
reproduction of further copies, subpart I applies. Where the contract
for transcription services reserves the sales privilege to the reporting
service, any duplicate copies must be purchased directly from the
reporting service.
Sec. 7.101 Copyrighted material.
Unless approval is secured from the copyright holder, the Department
will not reproduce or otherwise disseminate a copy of a copyrighted work
to a requester under the FOIA. However, the Department will make
arrangements to enable a requester to review the copyrighted work at a
Departmental facility.
Sec. 7.103 Alternative sources of information.
In the interest of making documents of general interest publicly
available at as low a cost as possible, alternative sources shall be
arranged whenever possible. In appropriate instances, material that is
published and offered for sale may be obtained from the Superintendent
of Documents, U.S. Government Printing Office, Washington, DC 20402; the
U.S. Department of Commerce's National Technical Information Service
(NTIS), Springfield, Virginia 22151; or the National Audio-Visual
Center, National Archives and Records Administration, Capital Heights,
MD 20743-3701.
Appendix A to Part 7--Office of The Secretary
1. General. This appendix describes the location and hours of
operation of the document inspection facility of the Office of the
Secretary (OST); the kinds of records that are available for public
inspection and copying at the facility; and the procedures by which
members of the public may make requests for records.
2. Document Inspection Facilities. The document inspection facility
for records of the Office of the Secretary other than those required to
be filed in connection with docketed aviation economic matters is
maintained by the Office of the General Counsel, suite 9421 of the
Headquarters Building, located at 400 Seventh Street, SW., Washington,
DC 20590. This facility is open to the public from 9 a.m. to 5 p.m. ET,
Monday through Friday, except legal public holidays and other special
closings. The document inspection facility for documents required to be
filed in connection with docketed aviation economic matters is
maintained by the Documentary Services Division, Office of the General
Counsel, suite 4107 of the Headquarters Building. This facility is open
to the public from 9 a.m. to 5 p.m. ET, Monday through Friday, except
legal public holidays and other special closings.
3. Records available through the document inspection facilities. The
following records are available through the document inspection
facilities:
(a) Any material issued by the Office of the Secretary and published
in the Federal Register, including regulations.
(b) Final opinions (including concurring or dissenting opinions) and
orders made in the adjudication of cases and issued by the Office of the
Secretary.
(c) Any policy or interpretation issued by the Office of the
Secretary, including any policy or interpretation concerning a
particular factual situation, if that policy or interpretation can
reasonably be expected to have precedential value in any case involving
a member of the public in a similar situation.
(d) Any administrative staff manual or instruction to staff, issued
by the Office of the Secretary, that affects any member of the public,
including the prescribing of any standard, procedure, or policy that,
when implemented, requires or limits any action of any member of the
public or prescribes the manner of performance of any activity by any
member of the public.
(e) Formal pleadings filed in connection with docketed aviation
economic proceedings, including applications, complaints, motions,
petitions, answers, comments and replies.
(f) DOT Orders. DOT orders that are issued by the Department and
used primarily to promulgate internal DOT policy, instructions, and
general guidance.
(g) DOT Notices. DOT notices that are issued by the Department and
contain short-term instructions or information that is scheduled to
remain in effect for fewer than 90 days or for a predetermined period of
time normally not to exceed one year.
(h) OST Orders. OST orders that are issued by the Office of the
Secretary (OST) and used primarily to promulgate internal OST policy,
instructions, and general guidance.
(i) OST Notices. OST notices that are issued by the Office of the
Secretary and contain short-term instructions or information which is
expected to remain in effect for
[[Page 74]]
fewer than 90 days or for a predetermined period of time normally not to
excees one year.
4. Requests for records under subpart F of this part. Each person
desiring to inspect an OST record, or to obtain a copy thereof, should
submit a written request to the Associate General Counsel, U.S.
Department of Transportation, 400 Seventh Street, SW., Washington, DC
20590. If it is unknown where in DOT the record(s) sought may be found,
the request may be submitted to the Associate General Counsel, who will
ensure the appropriate processing.
5. The official having authority to make determinations on requests,
pursuant to the Freedom of Information Act, is limited to the Associate
General Counsel or his or her designee.
6. Reconsideration of determinations not to disclose records and to
deny fee waivers. Any person who has been notified that a record or part
of a record that has been requested will not be disclosed or that a
request for a fee waiver or reduction will not be granted, either in
whole or in part, may appeal, in writing, to the General Counsel, U.S.
Department of Transportation, for reconsideration of that determination.
The decision of the General Counsel is administratively final.
[53 FR 30268, Aug. 11, 1988, as amended by Amdt. 7-1, 54 FR 10010, Mar.
9, 1989]
Appendix B to Part 7--United States Coast Guard
1. General.
This appendix describes the document inspection facilities of the
U.S. Coast Guard, the kinds of records that are available for public
inspection and copying at those facilities, and the procedures by which
members of the public may make requests for identifiable records.
2. Document Inspection Facilities
The document inspection facilities are located at the offices of the
Commandant and District Commanders. The address for each of these
facilities is set forth below. They are open to the public Monday
through Friday during the hours specified, except for legal public
holidays and other special closings. The States or regions within the
jurisdiction of each District are also provided.
Commandant (G-TIS), U.S. Coast Guard, Washington, DC 20593. The facility
is located at Coast Guard Headquarters, Management Analysis Division,
2100 Second Street SW., Washington, DC 20593. 7:00 a.m.-3:30 p.m. ET.
Commander, First Coast Guard District, Coast Guard Building, 408
Atlantic Building, Boston, MA 02210. 8:00 a.m.-4:30 p.m. ET. (Maine,
Massachusetts, Connecticut, New Hampshire, Rhode Island, Vermont, New
Jersey (northeastern), and New York (eastern)).
Commander, Second Coast Guard District, 1430 Olive Street, St. Louis, MO
63103. 8:45 a.m.-5:15 p.m. CT. (Alabama (northern), Arkansas, Colorado,
Illinois (parts), Indiana (parts), Iowa, Kansas, Kentucky, Minnesota
(parts), Mississippi (northern), Missouri, Nebraska, North Dakota, Ohio
(parts), Oklahoma, Pennsylvania (western), South Dakota, Tennessee, West
Virginia, Wisconsin (western), and Wyoming).
Commander, Fifth Coast Guard District, Federal Office Building, 431
Crawford Street, Portsmouth, Virginia 23705. 8:00 a.m.-4:30 p.m. ET.
(Maryland, North Carolina, Virginia, New Jersey (southwestern),
Delaware, Pennsylvania (eastern), and the District of Columbia.
Commander, Seventh Coast Guard District, Federal Building, Room 1018, 51
SW. First Avenue, Miami, FL 33130. 8:00 a.m.-4:30 p.m. ET. (Florida
(parts), Georgia (parts), South Carolina, and Puerto Rico).
Commander, Eighth Coast Guard District, 500 Camp Street, New Orleans, LA
70130. 7:45 a.m.-4:15 p.m. CT. (Alabama (parts), Florida (northeastern),
Georgia (southeastern), Louisiana, Mississippi (parts), New Mexico, and
Texas).
Commander, Ninth Coast Guard District, 1240 East Ninth Street,
Cleveland, OH 44199. 7:30 a.m.-4:00 p.m. ET. (Illinois (northeastern),
Indiana (northern), Michigan, Minnesota (northern), New York
(northwestern), Ohio (northern), Pennsylvania (northeastern), Wisconsin
(eastern)).
Commander, Eleventh Coast Guard District, 400 Oceangate Boulevard, Long
Beach, CA 90882. 8:00 a.m.-4:30 p.m. PT. (Arizona, California, Nevada,
and Utah).
Commander, Thirteenth Coast Guard District, Federal Building, Room 3590.
915 Second Avenue, Seattle, WA 98174. 7:45 a.m.-4:15 p.m. PT. (Idaho,
Montana, Oregon, and Washington).
Commander, Fourteenth Coast Guard District, 300 Ala Moana Boulevard,
Honolulu, HI 96850. 6:30 a.m.-3:00 p.m. Hawaii--Aleutian Standard Time.
(Hawaii).
Commander, Seventeenth Coast Guard District, Federal Building, 709 West
9th Street, Post Office Box 3-5000, Juneau, AK 99802. 8:00 a.m.-4:00
p.m. Alaska Time. (Alaska).
3. Records Available at Document Inspection Facilities
(a) The following records are available at any U.S. Coast Guard
document inspection facility:
(1) Final opinions and orders made in the adjudication of cases by
the Commandant, U.S. Coast Guard.
(2) U.S. Coast Guard numbered publications that affect any member of
the public,
[[Page 75]]
including the prescribing of any standard, procedure, or policy that,
when implemented, requires or limits any action of any member of the
public or prescribes the manner of performance of any activity by any
member of the public.
(b) Opinions and orders of administrative law judges are available
at the document inspection facility of the Office of the Commandant and
the district in which the administrative law judge is located.
(c) Policies and interpretations issued within the U.S. Coast Guard
(including any policy or interpretation concerning a particular factual
situation, if that policy or interpretation can reasonably be expected
to have precedential value in any case involving a member of the public
in a similar situation) are available at the document inspection
facility of the Office of the Commandant.
(d) An index of the records located at each facility is maintained
at that facility.
(e) The records and the index may be inspected at the facility,
without charge. Copies of records may be obtained upon payment of the
fee prescribed in Subpart I of this part.
4. Requests for Records Under subpart F of this part
Each person desiring to inspect a record, or obtain a copy thereof,
should submit the request in writing to the U.S. Coast Guard office at
which such record is located. The addresses of the Commandant and
District Commanders are listed in section 2 of this appendix. If the
office at which the record is located is unknown, the request may be
submitted to the Office of the Commandant at the address listed in
section 2 of this appendix. The following gives illustrations of types
of records and specifies where requests for such records are
appropriately addressed:
(a) Examples of records for which requests may properly be made to
either the Office of the Commandant, U.S. Coast Guard or office of the
appropriate District Commander include the following:
(1) Marine Casualty investigative records.
(2) Records of certificates and licenses issued.
(3) Merchant vessel inspection records.
(4) Records of merchant vessel documentation and recording of sales
and other dispositions.
(5) Records of U.S. Coast Guard property and contracts.
(b) Examples of records for which requests may properly be made only
to the Office of the Commandant, U.S. Coast Guard, include the
following:
(1) Central files of merchant seamen.
(2) Merchant vessel shipping articles.
(3) Merchant vessel equipment approvals.
(4) Merchant Marine Council proceedings.
(5) Great Lakes pilotage records.
(6) Central files of U.S. Coast Guard personnel.
(7) U.S. Coast Guard courts-martial records.
(8) U.S. Coast Guard vessel and shore station log books more than
one year old on January 1 of the year in which the request is made.
(c) Examples of records for which requests may properly be made only
to the appropriate District Commander include the following:
(1) Navigation and vessel inspection penalty action records.
(2) Search and rescue reports.
(3) Coast Guard vessel and shore station log books for the current
calendar year and the calendar year immediately preceding the current
year.
(4) Port safety and waterfront facility records.
(5) Aids to navigation records.
(6) Merchant vessel logbooks.
(7) Shipyard and factory inspection records.
5. Officials Having Initial Authority to Deny Requests.
The following officials have authority to make initial
determinations to deny requests for records:
(a) Field commanders.
(1) Commander, Atlantic Area.
(2) Commander, Pacific Area.
(3) Commander, First Coast Guard District.
(4) Commander, Second Coast Guard District.
(5) Commander, Fifth Coast Guard District.
(6) Commander, Seventh Coast Guard District.
(7) Commander, Eighth Coast Guard District.
(8) Commander, Ninth Coast Guard District.
(9) Commander, Eleventh Coast Guard District.
(10) Commander, Thirteenth Coast Guard District.
(11) Commander, Fourteenth Coast Guard District.
(12) Commander, Seventeenth Coast Guard District.
(13) Commander, Maintenance and Logistics Command Atlantic.
(14) Commander, Maintenance and Logistics Command Pacific.
(15) Superintendent, U.S. Coast Guard Academy.
(16) Commanding Officer, Coast Guard Yard.
(17) Commanding Officer, Coast Guard Training Center Cape May.
(18) Commanding Officer, Coast Guard Reserve Training Center.
(19) Commanding Officer, Coast Guard Pay and Personnel Center.
[[Page 76]]
(b) Headquarters officials concerning records within their office.
(1) Chief, Plans and Evaluation Division (for records located within
the office of the Commandant, Chief of Staff, special staff divisions or
when a request involves records located in two or more offices).
(2) Chief, Office of Acquisition.
(3) Chief, Office of Boating, Public and Consumer Affairs.
(4) Chief, Office of Comptroller.
(5) Chief, Office of Civil Rights.
(6) Chief, Office of Health Services.
(7) Chief, General Law Division (for records in the office of the
Chief Counsel).
(8) Chief, Office of Marine Safety, Security and Environmental
Protection.
(9) Chief, Office of Navigation.
(10) Chief, Office of Operations.
(11) Chief, Office of Personnel.
(12) Chief, Office of Readiness and Reserve.
(13) Chief, Office of Command, Control and Communications.
6. Reconsideration of Determinations Not to Disclose Records and to Deny
Fee Waivers.
Any person who has been notified that a record or part of a record
that has been requested will not be disclosed, or that a request for the
waiver or reduction of a processing fee has been denied, may apply, in
writing, to the Commandant (G-TIS), U.S. Coast Guard, for
reconsideration of that determination. The decision of the Commandant or
his or her designee is administratively final.
Appendix C to Part 7--Federal Aviation Administration
1. General
This appendix describes the document inspection facilities of the
Federal Aviation Administration (FAA), the kinds of records that are
available for public inspection and copying at those facilities, and the
procedures by which members of the public may make requests for
identifiable records.
2. Document Inspection Facilities
Document inspection facilities are maintained at FAA Headquarters,
each FAA regional office, the Aeronautical Center, and the FAA Technical
Center. The document inspection facility for the European Office is
located at FAA Headquarters. Except for legal public holidays and other
special closings, these facilities are open to the public, Monday
through Friday, during local times specified in the following listings.
The States within the jurisdictional area of each FAA Regional Office
are also listed in parentheses.
FAA Headquarters, 800 Independence Avenue, SW., Washington, DC 20591.
8:30 a.m.-5:00 p.m. ET.
Alaska Region, 701 C Street, Box 14, Anchorage, AK 99513. 7:30 a.m.-4:00
p.m. Alaska Time (Alaska).
Central Region, 601 East 12th Street, Kansas City, Missouri 64106. 7:30
a.m.-4:00 p.m. CT. (Iowa, Kansas, Missouri, and Nebraska).
Eastern Region, Fitzgerald Federal Bldg., JFK International Airport,
Jamaica, NY 11430. 8:00 a.m-4:30 p.m. ET. (District of Columbia,
Delaware, Maryland, New Jersey, New York, Pennsylvania, Virginia, and
West Virginia).
Great Lakes Region, O'Hare Lake Office Center, 2300 East Devon Street,
Des Plaines, Ill. 60018. 7:30-4:00 p.m. CT. (Illinois, Indiana,
Michigan, Minnesota, North Dakota, Ohio, South Dakota, and Wisconsin).
New England Region, 12 New England Executive Park, Burlington, MA
(Mailing Address: Post Office Box 510, Burlington, MA 01803). 8:00 a.m.-
4:00 p.m. ET. (Connecticut, Maine, Massachusetts, New Hampshire, Rhode
Island, and Vermont).
Northwest Mountain Region, 17900 Pacific Highway South, C-68966, Seattle
WA 96168. 7:30 a.m.-4:00 p.m. PT. (Colorado, Idaho, Montana, Oregon,
Utah, Washington, and Wyoming).
Southern Region, 3400 Norman Berry Drive, East Point, GA (Mailing
Address: Post Office Box 20636, Atlanta, GA 30320). 8:00 a.m.-4:30 p.m.
ET. (Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina,
South Carolina, Tennessee, Puerto Rico, and Virgin Islands.
Southwest Region, 4400 Blue Mound Road, Fort Worth, TX (Mailing Address:
Fort Worth, TX 76193-0041). 8:00 a.m.-4:30 p.m. CT. (Arkansas,
Louisiana, New Mexico, Oklahoma, and Texas).
Western Pacific Region, 15000 Aviation Boulevard, Hawthorne, CA (Mailing
Address: Post Office Box 92007, World-Way Postal Center, Los Angeles, CA
90009). 7:30 a.m.-4:00 p.m. PT. (Arizona, California, Hawaii, and
Nevada).
Mike Monroney Aeronautical Center, 6500 South MacArthur Boulevard
(Mailing Address: Post Office Box 25082), Oklahoma City, OK 73125. 8:00
a.m.-4:30 p.m. CT.
FAA Technical Center, Atlantic City Airport, Atlantic City, NJ 08405.
8:00 a.m.-4:30 p.m. ET.
3. Records Available at Document Inspection Facilities
(a) The following records under subpart E of this part are available
at FAA document inspection facilities:
(1) Final opinions and orders made in the adjudication of cases by
the Administrator, FAA, or his/her designee.
(2) Policies and interpretations, including any policy or
interpretation concerning a particular factual situation, if that policy
or interpretation can reasonably be expected to
[[Page 77]]
have precedential value in any case involving a member of the public in
a similar situation. All such policies and interpretations made by the
Administrator, Deputy Administrator, Associate Administrators,
directors, and heads of offices are available at the FAA Headquarters
document inspection facility; only those policies and interpretations
made by the Administrator, Deputy Administrator, and the regional or
center director concerned are available at regional and center document
inspection facilities.
(3) Any administrative staff manual or instruction to staff that
affects any member of the public, including the prescribing of any
standard, procedure, or policy that, when implemented, requires or
limits any action of any member of the public or prescribes the manner
of performance of any activity by any member of the public. Such
documents are available at the inspection facility of the organizational
unit which has issued them.
(b) An index of the records located at each document inspection
facility is maintained at that facility.
(c) The records and the index may be inspected, without charge, at
the facility. Copies of records may be obtained upon payment of the fee
prescribed in subpart I of this part.
4. Requests for Reasonably Described Records Under Subpart F of this
part
Each person desiring to inspect a record, or to obtain a copy
thereof, should submit a request in writing to the Assistant
Administrator for Public Affairs, FAA Headquarters, or the director of
the region or center in which it is located. The addresses of FAA
Headquarters and the Regions and Centers are listed in paragraph 2 of
this appendix. If the location of the record is not known, the request
may be submitted to the Assistant Administrator for Public Affairs, FAA
Headquarters. The following list gives illustrations of types of records
and where they might be located:
(a) Records pertaining to the issue, amendment, suspension or
revocation of certificates, permits, authorizations, and approvals, such
as:
(1) Airman certificates and ratings for pilots, flight instructors,
flight navigators, flight engineers, aircraft dispatchers, mechanics,
repairmen, air traffic control operators, and parachute riggers and
ground instructor certificates are maintained at the Mike Monroney
Aeronautical Center.
(2) Aircraft registration certificates and airworthiness
certificates are maintained at the Aeronautical Center.
(3) Aircraft type certificates and production certificates are
maintained at the regional office within which the issuance was made.
(4) Ferry permits and special flight authorizations are maintained
at the district office of the region within which the issuance was made.
(5) Air carrier operating certificates, commercial operator
certificates, agricultural aircraft operator certificates, repair
station certificates, parachute loft certificates, pilot school
certificates, and mechanic school certificates are maintained at the
district office of the region within which the certification was taken.
(b) Records of designations of representatives of the Administrator
are located at FAA Headquarters.
(c) Records relating to Federal-aid airport grants are located at
the regional office within which the grant was made.
(d) Records of approvals of navigational facilities under Federal
Aviation Regulations (FAR) part 171 are located at the regional office
within which the approval was issued.
(e) Records relating to civil penalty actions and seizure of
aircraft are located at the regional office within which the action was
taken.
5. Reconsideration of Determinations Not to Disclose Records and to Deny
Fee Waivers
Any person who has been notified that a record or part of a record
that has been requested will not be disclosed or that a request for a
fee waiver or reduction will not be granted, either in whole or in part,
may appeal, in writing to the Assistant Administrator for Public
Affairs, FAA, for reconsideration of that determination. The decision of
the Assistant Administrator for Public Affairs is administratively
final.
Appendix D to Part 7--Federal Highway Administration
1. General
This appendix describes the location and hours of operation of the
document inspection facilities of the Federal Highway Administration
(FHWA); the kinds of records that are available for public inspection
and copying at these facilities; and the procedures by which members of
the public may make requests for records.
2. Document Inspection Facilities
Document inspection facilities are maintained at the Federal Highway
Administration Headquarters, each regional office, and each division
office. Except for legal public holidays and other special closings,
these facilities are open to the public, Monday through Friday, during
regular working hours, which are included after each address below.
Written requests for information under the Freedom of Information Act
should be sent to the appropriate office, and the envelope in which the
request is sent should be prominently marked with the letters ``FOIA''
(see paragraph 4 below).
[[Page 78]]
Washington Headquarters
FOIA Program Officer (HMS-10), Federal Highway Administration, 400
Seventh Street, SW., room 4428, Washington, DC 20590. 7:45 a.m.-4:15
p.m. ET.
Regional Offices
Regional Federal Highway Administrator, Region 1, Federal Highway
Administration, Clinton Avenue and North Pearl Street, room 719, Albany,
NY 12207. 7:30 a.m.-4 p.m. ET. (Connecticut, Maine, Massachusetts, New
Hampshire, New Jersey, New York, Puerto Rico, Rhode Island, Vermont,
Virgin Islands)
Regional Federal Highway Administrator, Region 3, Federal Highway
Administration, 10 South Howard Street, suite 4000, Baltimore, MD 21201.
7:30 a.m.-4:15 p.m. ET. (Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, West Virginia)
Regional Federal Highway Administrator, Region 4, Federal Highway
Administration, suite 200, 1720 Peachtree Road, NW., Atlanta, GA 30367.
7:45 a.m.-4:15 p.m. ET. (Alabama, Florida, Georgia, Kentucky,
Mississippi, North Carolina, South Carolina, Tennessee)
Regional Federal Highway Administrator, Region 5, Federal Highway
Administration, 18209 Dixie Highway, Homewood, IL 60430-2294. 7:30 a.m.-
4:15 p.m. CT. (Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin)
Regional Federal Highway Administrator, Region 6, Federal Highway
Administration, 819 Taylor Street, room 8A00, P.O. Box 902003, Fort
Worth, TX 76102. 8 a.m.-4:30 p.m. CT. (Arkansas, Louisiana, New Mexico,
Oklahoma, Texas)
Regional Federal Highway Administrator, Region 7, Federal Highway
Administration, 6301 Rockhill Road, P.O. Box 419715 (64141), Kansas
City, MO 64131. 7:30 a.m.-4 p.m. CT. (Iowa, Kansas, Missouri, Nebraska)
Regional Federal Highway Administrator, Region 8, Federal Highway
Administration, 555 Zang Street, room 400, Lakewood, CO 80228. 7:45
a.m.-4:15 p.m. MT. (Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming)
Regional Federal Highway Administrator, Region 9, Federal Highway
Administration, 211 Main Street, room 1100, San Francisco, CA 94105.
7:45 a.m.-4:15 p.m. PT. (Arizona, California, Hawaii, Nevada, Guam,
American Samoa)
Regional Federal Highway Administrator, Region 10, Federal Highway
Administration, KOIN Center, suite 600, 222 SW. Columbia Street,
Portland, OR 97201. 7:45 a.m.-4:30 p.m. PT. (Alaska, Idaho, Oregon,
Washington)
Division Offices
Alabama, 500 Eastern Boulevard, suite 200, Montgomery, AL 36117-2018. 7
a.m.-4:30 p.m. CT.
Alaska, 709 W. Ninth Street, room 851, P.O. Box 21648, Juneau, AK 99802
1648. 7:30 a.m.-5 p.m. Alaska Time.
Arizona, 234 N. Central Avenue, suite 300, Phoenix, AZ 85004. 7:30 a.m.-
4:15 p.m. MT.
Arkansas, Federal Office Building, room 3128, 700 West Capitol Avenue,
Little Rock, AR 72201-3298. 7:30 a.m.-4 p.m. CT.
California, 980 Ninth Street, suite 400, P.O. Box 1915 (95812-1915),
Sacramento, CA 95814. 7:45 a.m.-4:30 p.m. PT.
Colorado, 555 Zang Street, room 250, Lakewood, CO 80228. 7:45 a.m.-4:15
p.m. MT.
Connecticut, Abraham A. Ribicoff Federal Building, 450 Main Street, room
635, Hartford, CT 06103. 7:30 a.m.-4 p.m. ET.
Delaware, 300 South New Street, room 2101, Dover, DE 19901-6726. 7:45
a.m.-4:15 p.m. ET.
District of Columbia, Union Center Plaza, suite 750, 820 First Street,
NE., Washington, DC 20002. 7:30 a.m.-4 p.m. ET.
Florida, 227 N. Bronough Street, room 2015, Tallahassee, FL 32301. 7:30
a.m.-4 p.m. ET.
Georgia, 1720 Peachtree Rd., NW., suite 300, Atlanta, GA 30367. 7 a.m.-4
p.m. ET.
Hawaii, Prince Jonah Kuhio Kalanianaole Federal Building, 300 Ala Moana
Boulevard, room 3202, Box 50206, Honolulu, HI 96850. 7:30 a.m.-4 p.m.
HT.
Idaho, 3050 Lakeharbor Lane, suite 126, Boise, ID 83703. 7:30 a.m.-4
p.m. MT.
Illinois, 3250 Executive Park Drive, Springfield, IL 62705. 7:30 a.m.-
4:15 p.m. CT.
Indiana, 575 N. Pennsylvania Street, room 254, Indianapolis, IN 46204.
7:30 a.m.-4 p.m. ET.
Iowa, 105 Sixth Street, P.O. Box 627, Ames, IA 50010. 7:45 a.m.-4:30
p.m. CT.
Kansas, 3300 South Topeka Boulevard, suite 1, Topeka, KS 66611-2237.
7:45 a.m.-4:15 p.m. CT.
Kentucky, John C. Watts Federal Building and U.S. Courthouse, 330 W.
Broadway, P.O. Box 536, Frankfort, KY 40602. 8 a.m.-4:45 p.m. ET.
Louisiana, Federal Building, room 255, 750 Florida Street, P.O. Box 3929
(70821), Baton Rouge, LA 70801. 7:30 a.m.-4 p.m. CT.
Maine, Edmund S. Muskie Federal Building, 40 Western Avenue, room 614,
Augusta, ME 04330. 7:30 a.m.-4 p.m. ET.
Maryland, The Rotunda, suite 220, West 40th Street, Baltimore, MD 21211,
7:45 a.m.-4:15 p.m. ET.
Massachusetts, 55 Broadway, 10th Floor, Cambridge, MA 02142. 7:45 a.m.-
4:15 p.m. ET.
Michigan, Federal Building, room 211, 315 West Allegan Street, Lansing,
MI 48933. 7:45 a.m.-4:15 p.m. ET.
[[Page 79]]
Minnesota, Metro Square Building, suite 490, Seventh and Robert Streets,
St. Paul, MN 55101. 7:30 a.m.-4 p.m. CT.
Mississippi, 666 North Street, suite 105, Jackson, MS 39202-3199. 7:30
a.m.-4 p.m. CT.
Missouri, 209 Adams Street, P.O. Box 1787 (65102), Jefferson City, MO
65101. 7:30 a.m.-4 p.m. CT.
Montana, Federal Office Building, 301 South Park, Drawer 10056, Helena,
MT 59626-0056. 7:30 a.m.-4 p.m. MT.
Nebraska, Federal Building, room 220, 100 Centennial Mall North,
Lincoln, NE 68508-3851. 7:30 a.m.-4:15 p.m. CT.
Nevada, 705 North Plaza Street, suite 220, Carson City, NV 89701. 7:45
a.m.-4:30 p.m. PT.
New Hampshire, Federal Building, room 204, 279 Pleasant Street, Concord,
NH 03301. 7:30 a.m.-4 p.m. ET.
New Jersey, Suburban Square Building, 2nd Floor, 25 Scotch Road,
Trenton, NJ 08628-2595. 8 a.m.-4:30 p.m. ET.
New Mexico, 604 West San Mateo Road, Santa Fe, NM 87501-1963. 7:30 a.m.-
4 p.m. MT.
New York, Leo W. O'Brien Federal Building, 9th Floor, Clinton Avenue and
North Pearl Street, Albany, NY 12207. 7:30 a.m.-4 p.m. ET.
North Carolina, 310 New Bern Avenue, P.O. Box 26806, Raleigh, NC 27611.
7:45 a.m.-4:15 p.m. ET.
North Dakota, Federal Building, P.O. Box 1755, 220 East Rosser Avenue,
Bismarck, ND 58502. 7:45 a.m.-4:30 p.m. CT.
Ohio, 200 North High Street, room 328, Columbus, OH 43215. 7:30 a.m.-
4:15 p.m. ET.
Oklahoma, Federal Office Building, room 454, 200 NW. Fifth Street,
Oklahoma City, OK 73102. 7:30 a.m.-4 p.m. CT.
Oregon, The Equitable Center, suite 100, 530 Center Street, NE., Salem,
OR 97301. 7:30 a.m.-4:15 p.m. PT.
Pennsylvania, 228 Walnut Street, P.O. Box 1086, Harrisburg, PA 17108. 8
a.m.-4:30 p.m. ET.
Puerto Rico, Frederico Degetau Federal Building and U.S. Courthouse,
Carlos Chardon Street, room 329, Hato Rey, PR 00918. 7:30 a.m.-4 p.m.
AT.
Rhode Island, 380 Westminster Mall, Fifth Floor, Providence, RI 02903.
7:45 a.m.-4:15 p.m. ET.
South Carolina, Strom Thurmond Federal Building, 1835 Assembly Street,
suite 758, Columbia, SC 29201. 7:45 a.m.-4:15 p.m. ET.
South Dakota, Federal Building, room 337, 225 South Pierre Street, P. O.
Box 700, Pierre, SD 57501. 8 a.m.-4:30 p.m. CT.
Tennessee, 249 Cumberland Bend Drive, Nashville, TN 37228. 8 a.m.-4:30
p.m. CT.
Texas, Federal Office Building, 300 East Eighth Street, room 826,
Austin, TX 78701. 7:30 a.m.-4:15 p.m. CT.
Utah, 2520 West 4700 South, suite 9A, Salt Lake City, UT 84118. 7:30
a.m.-4 p.m. MT.
Vermont, Federal Building, 87 State Street, P.O. Box 568 (05601),
Montpelier, VT 05602. 7:30 a.m.-4 p.m. ET.
Virginia, Federal Building, 10th Floor, 400 N. 8th Street, P.O. Box
10045, Richmond, VA 23240. 7:30 a.m.-4 p.m. ET.
Virgin Islands, U.S. Federal Building and U.S. Courthouse, room 281,
Charlotte Amalie, St. Thomas, VI 00801. (8:30-12:30 AST) 7:30 a.m.-11:30
a.m. ET.
Washington, suite 501, Evergreen Plaza, 711 S. Capitol Way, Olympia, WA
98501. 7:30 a.m.-4:30 p.m. PT.
West Virginia, 550 Eagan Street, suite 300, Charleston, WV 25301. 8
a.m.-4:30 p.m. ET.
Wisconsin, 4502 Vernon Boulevard, Madison, WI 53705-4905. 7:30 a.m.-4:15
p.m. CT.
Wyoming, 1916 Evans Avenue, Cheyenne, WY 82001-3764. 7:45 a.m.-4:30 p.m.
MT.
Federal Lands Highway Division Offices
Division Engineer, Eastern Federal Lands Highway Division, Loudoun Tech
Center, 21400 Ridgetop Circle, Sterling, VA 22170. 7:45 a.m.-4:15 p.m.
ET.
Division Engineer, Central Federal Lands Highway Division, 555 Zang
Street, P. O. Box 25246 (Denver 80225), Lakewood, CO 80228. 7:45 a.m.-
4:15 p.m. MT.
Division Engineer, Western Federal Lands Highway Division, 610 East
Fifth Street, Vancouver, WA 98661. 8 a.m.-4:30 p.m. PT.
3. Records Available Through Document Inspection Facilities
(a) The following records are available through the FHWA
Headquarters document inspection facility:
(1) Final opinions (including concurring and dissenting opinions, if
any) and orders made in the adjudication of cases and issued by the
Federal Highway Administration;
(i) Motor Carrier Safety Administrative Rulings adopted by the
Associate Administrator for Motor Carriers, issued by an Administrative
Law Judge in the adjudication of motor carrier enforcement cases, and
decisions of the Associate Administrator. (See also documents available
at Regional Document Inspection Facilities).
(ii) Motor Carrier Safety Waivers From Regulations (including
Handicapped Driver Waiver Program), containing records of the decisions
made to specific applicants for specific waivers from certain motor
carrier safety regulations.
(2) Any policy or interpretation issued by the Federal Highway
Administration, including any policy or interpretation concerning a
particular factual situation, if that policy or interpretation can
reasonably be expected to have precedential value in any case involving
a member of the public in a similar situation.
(i) Environmental Guidebook, a comprehensive compilation of
interpretations of
[[Page 80]]
the environmental regulations and environmental law. (See also paragraph
3.(b)(6)(i).)
(ii) Motor carrier regulatory interpretations.
(3) Electronic files, available for downloading from the Federal
Highway Electronic Bulletin Board (FEBBS) (dial (202) 366-3764), or
viewing/copying from the screen, which include such items as:
(i) The Federal-Aid Policy Guide (FAPG) (compressed version), a
single source documentation of the FHWA's current policies, regulations
and nonregulatory procedural guidance primarily related to the Federal-
aid Highway Program;
(ii) The Directives system (index listing, compressed version), a
numerical/subject cross reference listing of current Orders, Notices,
and Technical Advisories issued by FHWA;
(iii) Title 23, United States Code (USC) (compressed version); the
most up to date version of the Code, with any approved changes
incorporated;
(iv) Intermodal Surface Transportation Efficiency Act of 1991
(ISTEA), Pub. L. 102-240, 105 Stat. 1914;
(v) Title 23, Code of Federal Regulations (CFR) (compressed
version); the most up to date version of the 23 CFR, with all approved
changes incorporated;
(vi) Policy memoranda and questions and answers on the Intermodal
Surface Transportation Efficiency Act of 1991 (ISTEA), and various
planning related statistics and information;
(vii) T2: Technology Transfer Conference plus Transportation
Research Board (TRB) Research Abstracts listing;
(viii) National Highway Institute (NHI) Course Schedule and other
NHI information; and
(4) Anti-drug abuse regulatory information maintained by the Anti-
drug Information Center (ADIC), which can be searched or downloaded by
telephone (voice and FAX) at 1-800-225-3784 (24-hour access) or
searched/downloaded by use of a modem at 1-800-225-3804 for the
Department of Transportation's anti-drug programs. This includes the
anti-drug regulations for the motor carrier industry, some of the most
commonly asked questions regarding the regulations, and interpretation
and elaborations of regulations.
(b) The following records are generally available through Federal
Highway Administration document inspection facilities, with the
exception of Federal Lands Highway Division Offices, which do not have
copies of Motor Carrier materials, and other exceptions as noted:
(1) FHWA Orders, used primarily to promulgate internal policy,
instructions, and general guidance.
(2) FHWA Notices, containing short term instructions or information
which is expected to remain in effect for a predetermined period of time
normally not to exceed one year.
(3) FHWA Bulletins, issued by the agency and used to promulgate one
time announcements or transmit reports, publications, and other similar
material.
(4) Technical Advisories (TAs), containing permanent or long-lasting
detailed techniques or technical material that is advisory in nature.
(5) FHWA Manuals, issued by the Federal Highway Administration and
containing detailed procedures, standards, and guides relating to the
administration of the Federal-aid Highway Program, the Federal Lands
Highway Program, and the Motor Carrier Program. They include the
following:
(i) Federal-Aid Policy Guide (FAPG), an organized, looseleaf, single
source documentation of the FHWA's current policies, regulations and
nonregulatory procedural guidance information related to the Federal-aid
Highway Program. A small portion of these materials relates to the
agency's Federal Lands Highway Program and State and Community Highway
Safety Program.
(ii) Department of Transportation (DOT) Organizational Manual (DOT
ORDER 1100.63), issued by the Office of the Secretary of Transportation
and describing the organization of FHWA and the mission and functions of
each principal organizational unit.
(iii) Labor Compliance Manual, used as a guide in Federal-aid
Highway Program and Federal Lands Highway Program construction projects,
to assure compliance with federal labor laws by the highway construction
contractors.
(iv) Motor Carrier Management Manual, used as a general management
guide for administering the motor carrier program.
(v) Manual on Uniform Traffic Control Devices (MUTCD), a publication
of the Federal Highway Administration, setting forth basic principles
that govern the design and usage of traffic control devices, and current
traffic control device design and application standards. Section 1A-7 of
the MUTCD incorporates, by reference, several other publications.
(vi) Standard Specifications for Construction of Roads and Bridges
on Federal Highway Projects, FP-92, 1992, based on the AASHTO Guide
Specifications for Highway Construction, used as a guide by the Federal
Lands Highway Program for construction of roads and bridges on Federal
Lands Highway projects. (Available in the Headquarters and Federal Lands
Highway Program division offices document inspection facilities.)
(vii) U.S. DOT FHWA Construction Manual, for Use as a Guide for FHWA
Personnel (1985), used as a guide for the construction of roads and
bridges within federally owned and administered parks and lands.
(Available in
[[Page 81]]
the Headquarters and Federal Lands Highway Program division offices
document inspection facilities.)
(viii) Emergency Relief-Disaster Assistance Manual (Publication No.
FHWA-ED-88-001), providing instructions on procedures for FHWA, State,
and local highway agency personnel involved in Federal-aid Highway
system emergencies (severe damage to highways as a result of a major
catastrophe or natural disaster), including guidance for evaluating
damage and preparing the documents necessary to support the use of
Emergency Relief (ER) funds.
(ix) Emergency Relief Manual for Federal Roads Off the Federal-aid
System (FHWA Technical Advisory T 5180.2), containing detailed program
guidance for the administration of emergency relief for Federal roads,
i.e., roads and trails administered by the National Park Service, the
Bureau of Indian Affairs, the Forest Service, and the Bureau of Land
Management. (Available in the Headquarters and Federal Lands Highway
Program division offices' document inspection facilities. Some regional
and division offices may have copies.)
(6) Guidelines/determinations, guidelines or determinations
containing details of compliance programs, accident investigations,
enforcement programs, and interpretations.
(i) Environmental Guidebook, a comprehensive, compilation of
interpretations of the environmental regulations and environmental law,
federal government-wide, with procedural guidance, policy memos, and
implementation instructions. (Complete files available in the Washington
headquarters document inspection facility.)
(ii) Highway Safety Guidelines, highway-related guidelines applying
to those provisions of the State and Community Highway Safety Program
under the Highway Safety Act of 1966 (title 23, U.S. Code, chapter 4)
and delegations of authority by the Secretary of Transportation, for
which responsibility resides in the FHWA.
(c) The following information is available by telephone.
(1) Motor Carrier Safety Ratings, a specific designation of safety
fitness assigned to each interstate motor carrier relative to the extent
of compliance or non-compliance with motor carrier safety regulations,
available by telephone request at (800) 832-5660. (Ratings can also be
obtained for a specific motor carrier by written request to the Office
of Motor Carrier Information Management, HIA-1, Federal Highway
Administration, 400 Seventh Street, SW., Washington, DC 20590.)
(2) ADIC (Anti-drug Information Center), containing anti-drug abuse
regulatory information for the Department of Transportation's anti-drug
programs, including the anti-drug regulations for the motor carrier
industry, some of the most commonly asked questions regarding the
regulations, and interpretation and elaborations of regulations, which
can be accessed by telephone at 1-800-225-3784 (24-hour access). (See
paragraph 3.(a)(4) of this appendix regarding electronic information.)
4. Requests for Records Under Subpart F of This Part
Each person desiring to inspect a record, or to obtain a copy
thereof, should submit a request, in writing, to the appropriate Federal
Highway Administration official at the address listed in paragraph 2,
Document Inspection Facilities. If it is not known where in FHWA the
record(s) sought may be found, the request may be submitted to the FOIA
Program Officer, Washington headquarters, at the address given in
paragraph 2, Document Inspection Facilities, above. Generally, all
requests pertaining to the Motor Carrier Program should be submitted to
the FOIA Program Officer at the Washington headquarters office except as
noted in subparagraph (b). The following provides an illustration of
types of records available and specifies where requests for such records
are appropriately addressed:
(a) Examples of records for which requests may properly be made to
the FHWA FOIA Program Officer (Washington headquarters):
(1) Copies of Motor Carrier Accident Reports. (FHWA eliminated the
requirements for this report, effective March 3, 1993; consequently,
FHWA will not have accident report forms for accidents occurring after
March 3, 1993.)
(2) Records on specific motor carriers or specific motor carrier
files.
(3) Copies of contracts or requests for proposals (RFP's).
(4) Copies of research and development (R&D) project records,
excluding published reports.
(b) Examples of records for which requests may properly be made to
the FHWA Regional Offices:
(1) Copies of administrative records for the entire region, for
example, personnel and financial management records.
(2) Copies of records pertaining to region-wide implementation of
FHWA programs.
(3) Copies of Final Orders of the Agency which may include:
negotiated Settlement Agreements, Notices of Claim (to which a motor
carrier has failed to reply), and Out-of-Service Orders.
(c) Examples of records for which requests may properly be made to
the FHWA Division Offices:
(1) Copies of records pertaining to specific Federal-aid highway
projects.
(2) Copies of environmental studies for Federal-aid highway
projects.
(d) Examples of records for which requests may properly be made to
the appropriate FHWA Federal Lands Highway (FLH) Division Offices:
[[Page 82]]
(1) FLH project records.
(2) FLH contract files.
5. Determinations Not To Disclose Records
Authority to issue initial determinations, including initial denials
of access to records and of fee waivers or fee waiver reductions has
been delegated to all FHWA Associate Administrators, Staff Office
Directors, Regional Administrators, and the Federal Lands Highway
Program Administrator. Each of these officials is also authorized to
redelegate this authority to subordinate officials.
6. Reconsideration of Determinations Not To Disclose Records and To Deny
Fee Waivers
Any person who has been notified that a record or part of a record
that has been requested will not be disclosed, or could not be found, or
that a request for a fee waiver or reduction will not be granted, may
appeal, in writing, to the Associate Administrator for Administration,
Federal Highway Administration, 400 Seventh Street SW., Washington, DC
20590, for reconsideration of the determination. A copy of the appeal
letter should be simultaneously sent to the office which made the
initial determination. The decision of the Associate Administrator for
Administration is administratively final.
[58 FR 65824, Dec. 16, 1993]
Appendix E to Part 7--Federal Railroad Administration
1. General.
This appendix describes the document inspection facility of the
Federal Railroad Administration, the kinds of records that are available
for public inspection and copying at that facility, and the procedures
by which members of the public may make requests for identifiable
records.
2. Document Inspection Facility
The document inspection facility is maintained by the Executive
Director of the Federal Railroad Administration, room 8212, 400 Seventh
Street, SW., Washington, DC 20590. This facility is open to the public
8:30 a.m. to 5:00 p.m., ET, Monday through Friday, except for legal
public holidays and other special closings.
3. Records Available at the Document Inspection Facility
The following records are maintained at the document inspection
facility:
(a) Any material issued by the Federal Railroad Administration and
published in the Federal Register, including regulations.
(b) Final opinions (including concurring and dissenting opinions, if
any) and orders made in the adjudication of cases and issued by the
Federal Railroad Administration. Included are opinions and orders issued
under the Safety Appliance Act, Hours of Service Act, Locomotive
Inspection Act, Accident Reports Act, and the Federal Railroad Safety
Act of 1970.
(c) Any policy or interpretation issued within the Federal Railroad
Administration, including any policy or interpretation concerning a
particular factual situation, if that policy or interpretation can
reasonably be expected to have precedential value in any case involving
a member of the public in a similar situation.
(d) Subject to Sec. 7.41(a)(3) of this part, any administrative
staff manual or instruction to staff, issued by the Federal Railroad
Administration, that affects any member of the public, including the
prescribing of any standard, procedure, or policy that, when
implemented, requires or limits any action of any member of the public
or prescribes the manner of performance of any activity by any member of
the public.
(e) Public notice of pending administrative actions.
(f) Office of Safety Annual Report.
(g) Accident/Incident Bulletin.
(h) Rail-Highway Grade-Crossing Bulletin.
(i) Summary of accidents investigated by the Federal Railroad
Administration.
(j) Certain railroad employee fatalities investigated by the Federal
Railroad Administration.
(k) Subject to Sec. 7.69 of this part, documents related to loans,
loan guarantees, or grant programs conducted by the Federal Railroad
Administration.
(l) An index to the material described in (a) through (d). The
records and the index may be inspected at the facility without charge.
Copies of records may be obtained upon payment of fees prescribed in
subpart I of this part.
4. Requests for Identifiable Records Under Subpart F of this Part
Each person desiring to inspect a record, or to obtain a copy
thereof, should submit a request in writing to the Executive Director,
Federal Railroad Administration, room 8212, 400 Seventh Street, SW.,
Washington, DC 20590. Each request should be accompanied by a signed
authorization to conduct the search and agreement to pay any costs
incurred. Requester will be notified when it is estimated that the fee
will likely exceed $25. Prepayment may be required before delivery is
made.
[[Page 83]]
5. Reconsideration of Department Not To Disclose Records and To Deny Fee
Waivers.
Any person who has been notified that a record or part of a record
that has been requested will not be disclosed or that a request for a
fee waiver or reduction will not be granted, either in whole or in part,
may appeal, in writing, to the Federal Railroad Administrator, 400
Seventh Street, SW., Washington, DC 20590 for reconsideration of that
determination. The decision of the Federal Railroad Administrator is
administratively final.
Appendix F to Part 7--National Highway Traffic Safety Administration
1. General. This appendix describes the document inspection
facilities of the National Highway Traffic Safety Administration
(NHTSA), the kinds of records that are available for inspection and
copying at these facilities, and the procedures by which members of the
public may make requests for identifiable records.
2. Document inspection facilities. Document inspection facilities
are maintained for NHTSA Headquarters and each NHTSA regional office.
Unless otherwise noted, these facilities, which are located at the
following addresses, are open to the public from 7:45 a.m. to 4:15 p.m.
local time, Monday through Friday, except legal public holidays and
other special closings.
Washington Headquarters
National Highway Traffic Safety Administration, Technical Reference
Division, room 5108, 400 Seventh Street, SW., Washington, DC 20590.
Hours of operation are 8:00 a.m. to 4:00 p.m. ET.
National Highway Traffic Safety Administration, Technical Reference
Division, Docket Section Room 5109, 400 Seventh Street, SW., Washington,
DC 20590. (Material covered by paragraph 3(a)(8) of this Appendix only).
Hours of operation are 8:00 a.m. to 4:00 p.m. ET.
National Highway Traffic Safety Administration, Office of Management and
Data Systems (OMDS), room 5238, 400 Seventh Street, SW., Washington, DC
20590. (Material covered by paragraphs 3(a) (9) and (10) of this
Appendix only). Hours of operation are 8:00 a.m. to 4:00 p.m. ET.
Regional Offices
Region I--Regional Administrator, NHTSA, Transportation Systems Center,
Kendall Square, Code 903, Cambridge, MA 02142. (Connecticut, Maine,
Massachusetts, New Hampshire, Rhode Island, and Vermont)
Region II--Regional Administrator, NHTSA, 222 Mamaroneck Avenue, suite
204, White Plains, New York 10605. (New York, New Jersey, Puerto Rico,
and Virgin Islands)
Region III--Regional Administrator, NHTSA, Airport Plaza Building, 793
Elkridge Landing Road, room D-203, Linthicum, MD 21090. Hours of
operation are 8:00 a.m. to 4:30 p.m. ET. (Delaware, District of
Columbia, Maryland, Pennsylvania, Virginia, and West Virginia)
Region IV--Regional Administrator, NHTSA, suite 501, 1720 Peachtree
Road, NW., Atlanta, GA 30309. (Alabama, Florida, Georgia, Kentucky,
Mississippi, North Carolina, South Carolina, and Tennessee)
Region V--Regional Administrator, NHTSA, 18209 Dixie Highway, Homewood,
IL 60430. Hours of operation are 8:00 a.m. to 4:30 p.m. CT. (Illinois,
Indiana, Michigan, Ohio, Minnesota, and Wisconsin)
Region VI--Regional Administrator, NHTSA, room 8A38, 819 Taylor Street,
Fort Worth, TX 76102. Hours of operation are 8:00 a.m. to 4:30 p.m. CT.
(Arkansas, Louisiana, New Mexico, Oklahoma, and Texas)
Region VII--Regional Administrator, NHTSA, P.O. Box 412515, Kansas City,
MO 64141. (Iowa, Kansas, Missouri, and Nebraska)
Region VIII--Regional Administrator, NHTSA, 555 Zang Street, Fourth
Floor, Denver, CO 80228. (Colorado, Montana, North Dakota, South Dakota,
Utah, and Wyoming)
Region IX--Regional Administrator, NHTSA, 211 Main Street, suite 1000,
San Francisco, CA 94105. (American Samoa, Arizona, California, Guam,
Hawaii, and Nevada)
Region X--Regional Administrator, NHTSA, 3140 Jackson Federal Building,
Seattle, Washington 98174. Hours of operation are 8:00 a.m. to 4:30 p.m.
PT. (Alaska, Idaho, Oregon, and Washington)
3. Records Available at Document Inspection Facilities
(a) Certain documents not in the custody of the document inspection
facility (for example, current defect investigations) may be reviewed
there, but only if they are requested in advance. The following records
are available at the NHTSA Headquarters document inspection facility:
(1) Final opinions and orders made in the adjudication of cases and
issued by the National Highway Traffic Safety Administration.
(2) NHTSA test reports that assess manufacturer's compliance with
Federal Motor Vehicle Safety Standards.
(3) Investigative reports concerning compliance with standards and
possible safety-related defects.
(4) Summaries and detailed reports of motor vehicle recall
campaigns.
(5) Consumers' complaint letters regarding motor vehicles.
(6) Contractors' technical reports documenting the results of
research performed for NHTSA pursuant to contract.
[[Page 84]]
(7) Multidisciplinary case studies on the causes of selected motor
vehicle accidents.
(8) Rulemaking actions including comments and informal
interpretations and opinions concerning provisions of the National
Traffic and Motor Vehicle Safety Act of 1966, the Motor Vehicle
Information and Cost Savings Act and the Highway Safety Act and
regulations and standards issued thereunder which have been given to
members of the public by National Highway Traffic Safety Administration
officials.
(9) NHTSA Orders. These orders are issued by the National Highway
Traffic Safety Administration and contain policy, instructions, and
general procedures.
(10) NHTSA Notices. These notices are issued by the National Highway
Traffic Safety Administration and transmit one-time or short-term
announcements or temporary directives (1 year or less).
(b) The following records are available at all NHTSA document
inspection facilities:
(1) Motor Vehicle Safety Standards. These standards, issued by the
National Highway Traffic Safety Administration, apply to new motor
vehicles and equipment thereon.
(2) Highway Safety Standards. These standards, issued by the
National Highway Traffic Safety Administration, apply to State highway
safety programs.
(3) State Highway Programs. Reports on State highway programs
presenting the proposed implementation of Federal Highway Standards on
an annual and long-range basis. These reports are available at the NHTSA
Headquarters document inspection facility and the appropriate Regional
Administrator's Office.
4. Requests for records under subpart F of this part. Persons
wishing to inspect a record, or to obtain a copy thereof, should submit
a request in writing to the NHTSA facility in which such record is
located. If the records are located at Washington Headquarters, requests
should be sent to Director, Executive Secretariat, NHTSA, room 5221, 400
Seventh Street, SW., Washington, DC 20590. If the records are located in
a regional office, requests should be sent to the appropriate inspection
facility.
5. Reconsideration of determinations not to disclose records and to
deny fee waivers. Any person who has been notified that a record or part
of a record that has been requested will not be disclosed or that a
request for a fee waiver or reduction will not be granted, either in
whole or in part, may appeal in writing, to the Associate Administrator
for Administration, National Highway Traffic Safety Administration, 400
Seventh Street, SW., Washington, DC 20590.
6. The fee for a search for a record or records identified by class
or subject is pursuant to Sec. 7.95 of this part.
Appendix G to Part 7--Urban Mass Transportation Administration
1. General
This appendix describes the document inspection facilities of the
Urban Mass Transportation Administration (UMTA), the kind of records
that are available for public inspection and copying at these
facilities, and the procedures by which members of the public may make
requests for identifiable records.
2. Document Inspection Facilities
Document inspection facilities are maintained at the Urban Mass
Transportation Administration Headquarters and each UMTA regional
office. Except for legal public holidays and other special closings,
these facilities are open to the public, Monday through Friday, at the
prescribed times and locations:
Washington Headquarters
Urban Mass Transportation Administration, Office of Public Affairs, room
9314, 400 Seventh Street, SW., Washington, DC 20590. (Working hours--
8:30 a.m.-5:00 p.m. ET).
Regional Offices
Region I--Regional Administrator, UMTA, Transportation Systems Center,
Kendall Square, 55 Broadway, suite 920, Cambridge, MA 02142. 8:30 a.m.-
5:00 p.m. ET. (Connecticut, Maine, Massachusetts, New Hampshire, Rhode
Island, and Vermont)
Region II--Regional Administrator, UMTA, 26 Federal Plaza, suite 14-110,
New York, NY 10278. 8:30 a.m.-5:00 p.m. ET. (New Jersey and New York)
Region III--Regional Administrator, UMTA, 841 Chestnut Street, suite
714, Philadelphia, PA 19107. 8:00 a.m.-5:00 p.m. ET. (Delaware, District
of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia)
Region IV--Regional Administrator, UMTA, 1720 Peachtree Road, NW., suite
400, Atlanta, GA 30309. 8:30 a.m.-5:00 p.m. ET. (Alabama, Florida,
Georgia, Kentucky, Mississippi, North Carolina, South Carolina,
Tennessee, and Puerto Rico)
Region V--Regional Administrator, UMTA, 300 S. Wacker Drive, suite 1720,
Chicago, IL 60606. 8:30 a.m.-5:00 p.m. CT. (Illinois, Indiana, Michigan,
Ohio, and Wisconsin)
Region VI--Regional Administrator, UMTA, 819 Taylor Street, suite 9A32,
Ft. Worth, TX 76102. 8:00 a.m.-5:00 p.m. CT. (Arkansas, Louisiana, New
Mexico, Oklahoma, and Texas)
Region VII--Regional Administrator, UMTA, 6301 Rockhill Road, suite 100,
Kansas City, MO 64131. 8:30 a.m.-5:00 p.m. CT. (Iowa, Kansas, Missouri,
and Nebraska)
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Region VIII--Regional Administrator, UMTA, 1050 17th Street, suite 1822
Prudential Plaza, Denver, CO 80265. 8:30 a.m.-5:00 p.m. MT. (Colorado,
Montana, North Dakota, South Dakota, Utah, and Wyoming)
Region IX--Regional Administrator, UMTA, 211 Main Street, room 1160, San
Francisco, CA 94105. 8:30 a.m.-5:00 p.m. PT. (Nevada, California,
Arizona, Hawaii, and Guam)
Region X--Regional Administrator, UMTA, 915 Second Avenue, suite 3142,
Seattle, WA 98174. 8:00 a.m.-4:30 p.m. PT. (Alaska, Idaho, Oregon, and
Washington)
3. Records Available at the Document Inspection Facilities
The following records are located at the document inspection
facilities:
(a) Final opinions (including concurring or dissenting opinions) and
orders made in the adjudication of cases and issued by the Office of the
Secretary.
(b) Any policy or interpretation issued by the Urban Mass
Transportation Administration, including any policy or interpretation
concerning a particular factual situation, if that policy or
interpretation can reasonably be expected to have precedential value in
any case involving a member of the public in a similar situation.
(c) Any administrative staff manual or instruction to staff, issued
by the Urban Mass Transportation Administration that affects any member
of the public, including the prescribing of any standard, procedure, or
policy that, when implemented, requires or limits any action of any
member of the public or prescribes the manner of performance of any
activity by any member of the public.
(d) An index to, and copies of, the internal and external directives
of the Urban Mass Transportation Administration. The records and the
index may be inspected without charge. Copies of records may be obtained
upon payment of the fee prescribed in subpart I of this part.
(e) Any proposed or final regulation issued by the Urban Mass
Transportation Administration and any docket materials regarding these
regulations. Public dockets for rulemakings are kept by the Docket
Clerk, Room 9223, and are available for public inspection and copying.
4. Requests for Identifiable Records Under Subpart F of This Part
Each person desiring to inspect a record or to obtain a copy
thereof, should submit the request in writing to the Director of Public
Affairs, Urban Mass Transportation Administration, room 9314, Department
of Transportation Building (Nassif Building), 400 Seventh Street, SW.,
Washington, DC 20590. Each request should be accompanied by a signed
authorization to conduct the search and agreement to pay any costs
incurred, as provided in 49 CFR part 7. The requester may stipulate a
maximum fee which he or she will pay. Prepayment may be required if
authorized by 49 CFR part 7.
5. Reconsideration of Determinations Not To Disclose Records and To Deny
Fee Waivers
Any person who has been notified that a record or part of a record
will not be disclosed or that a request or a fee waiver or reduction
will not be granted, either in whole or in part, may appeal, in writing,
to the Deputy Administrator, Urban Mass Transportation Administration,
room 9328, 400 Seventh Street, SW., Washington, DC 20590, for
reconsideration of that determination. The decision of the Deputy
Administrator is administratively final.
Appendix H to Part 7--Saint Lawrence Seaway Development Corporation
1. General. This appendix describes the document inspection facility
of the Saint Lawrence Seaway Development Corporation, the kinds of
records that are available for public inspection and copying at that
facility, and the procedures by which members of the public may make
requests for identifiable records.
2. Document inspection facility. The document inspection facility of
the Saint Lawrence Seaway Development Corporation is maintained at its
operations headquarters building in Massena, New York. This facility is
open to the public during regular working hours (8:00 a.m. to 4:30 p.m.
ET).
3. Records available at the document inspection facility. The
following records are maintained at the document inspection facility:
(a) Final opinions (including concurring and dissenting opinions, if
any) and orders made in the adjudication of cases and issued by the
Saint Lawrence Seaway Development Corporation.
(b) Any policy or interpretation issued by the Saint Lawrence Seaway
Development Corporation, including any policy or interpretation
concerning a particular factual situation, if that policy or
interpretation can reasonably be expected to have precedential value in
any case involving a member of the public in a similar situation.
(c) Any Administrative staff manual or instruction to staff, issued
by the Saint Lawrence Seaway Development Corporation, that affects any
member of the public, including the prescribing of any standard,
procedure or policy that, when implemented, requires or limits any
action of any member of the public or prescribes the manner of
performance of any activity by any member of the public.
(d) An index to the material described in (a) through (c). The
records and the index may be inspected at the facility without charge.
Copies of records may be obtained
[[Page 86]]
upon payment of fee prescribed in subpart I of this part.
4. Requests for identifiable records under subpart F of this part.
Each person desiring to inspect a record, or to obtain a copy thereof
should submit a request in writing to the Comptroller, Office of
Finance/Administration, Saint Lawrence Seaway Development Corporation,
180 Andrews Street, Massena, New York 13662.
5. Any person who has been notified that a record will not be
disclosed; and any person who has been notified that his or her request
for a fee waiver, in whole or in part, cannot be granted, may apply, in
writing, to the Administrator, Saint Lawrence Seaway Development
Corporation, Post Office Box 44090, Washington, DC 20026-4090, for
reconsideration of the request. The decision of the Administrator is
administratively final.
Appendix I to Part 7--Maritime Administration
1. General. This appendix describes the location and hours of
operation of the document inspection facility of the Maritime
Administration (MARAD), the kinds of records that are available for
public inspection and copying at that facility, and the procedures by
which members of the public may make requests for reasonably described
records.
2. Document inspection facility. The document inspection facility
for MARAD is maintained in room 7300 of the Department of Transportation
Building, 400 Seventh Street SW., Washington, DC 20590. The facility is
open to the public between 9:30 a.m. and 4:30 p.m. eastern time, Monday
through Friday, except legal public holidays and other special closings.
3. Records available at the document inspection facility. The
following records are maintained at the document inspection facility:
(a) Any material issued by MARAD and published in the Federal
Register, including regulations, for the most recent five years.
(b) Opinions, decisions, and orders of the Maritime Administrator/
MARAD and of the Maritime Subsidy Board (including concurrences and
dissents, if any).
(c) Any policy or interpretation issued by MARAD, including any
policy or interpretation concerning a particular factual situation, if
that policy or interpretation can reasonably be expected to have
precedential value in any case involving a member of the public in a
similar situation.
(d) Any administrative staff manual or instruction to staff, issued
by MARAD, that affects any member of the public, including the
prescribing of any standard, procedure, or policy that, when
implemented, requires or limits any action of any member of the public
or prescribes the manner of performance of any activity by any member of
the public as described in subpart E of this part.
(e) An index of the records described in (b) through (d).
4. Requests for reasonably described records under subpart F of this
part. Each person desiring to inspect a record, or to obtain a copy
thereof, should submit a request in writing to the Freedom of
Information Officer, Maritime Administration, room 7300, 400 Seventh
Street, NW., Washington, DC 20590. Each request should be accompanied by
a signed authorization to conduct the search and agreement to pay any
costs incurred. Prepayment may be required before delivery is made. The
requester may stipulate a maximum fee which he or she will pay.
5. The official having authority to make determinations on requests,
pursuant to the Freedom of Information Act, is the Freedom of
Information Officer or an appropriate designee.
6. Appeal of determination not to disclose records and/or waive
fees. Any person who has been notified that a record or part of a record
that has been requested will not be disclosed, or that a request for a
fee waiver or reduction will not be granted, either in whole or in part,
may appeal in writing to the Maritime Administrator, Maritime
Administration, room 7206, 400 Seventh Street, SW., Washington, DC
20590. The decision of the Maritime Administrator is administratively
final.
Appendix J to Part 7--Research and Special Programs Administration
1. General
This appendix describes the document inspection facilities of the
Research and Special Programs Administration (RSPA), the kinds of
records that are available for inspection and copying at these
facilities, and the procedures by which members of the public may make
requests for reasonably described records.
2. Document Inspection Facilities
Document inspection facilities are maintained at the RSPA
Headquarters Office, the Office of Hazardous Materials Transportation
(OHMT), the Office of Pipeline Safety (OPS), the Office of Aviation
Information Management (OAIM), and the Transportation Systems Center
(TSC) in Cambridge, Massachusetts. These facilities are open to the
public from 9:00 a.m. to 4:30 p.m. ET, Monday through Friday, except
legal public holidays and other special closings, at the following
locations:
RSPA Headquarters
Freedom of Information Officer, Research and Special Programs
Administration, room 8406, 400 Seventh Street, SW., Washington, DC
20590.
[[Page 87]]
Office of Hazardous Materials Transportation, DHM-50, room 8424, 400
Seventh Street, SW., Washington, DC 20590.
Office of Pipeline Safety, DPS-1, room 8417, 400 Seventh Street,
SW., Washington, DC 20590.
Office of Aviation Information Management
Chief of Data Services Branch, Data Requirements and Public Reports
Division, room 4201, 400 Seventh Street, SW., Washington, DC 20590.
Transportation Systems Center
Public Information Officer, Transportation Systems Center, 55
Broadway, Kendall Square, Cambridge, MA 02142.
3. Records Available Through Document Inspection Facilities
(a) The following records are available through the RSPA
Headquarters document inspection facility:
(1) Final opinions (including concurring and dissenting opinions, if
any) and orders made in the adjudication of cases and issued by the
Research and Special Programs Administration.
(2) Any policy or interpretation issued by the Research and Special
Programs Administration, including any policy or interpretation
concerning a particular factual situation, if that policy or
interpretation can reasonably be expected to have precedential value in
any case involving a member of the public in a similar situation.
(3) Any administrative staff manual or instruction to staff, issued
by the Research and Special Programs Administration, that affects any
member of the public, including the prescribing of any standard,
procedure, or policy that, when implemented, requires or limits any
action of any member of the public or prescribes the manner of
performance of any activity by any member of the public.
(4) RSPA Orders. RSPA orders are issued by the Research and Special
Programs Administration and are used primarily to promulgate internal
RSPA policy, instructions, and general guidance.
(5) RSPA Notices. RSPA notices are issued by the Research and
Special Programs Administration and contain short-term instructions or
information which is expected to remain in effect for less than 90 days
or for a predetermined period of time normally not to exceed one year.
(6) Indices to the material described in (1) through (5).
(b) The following records are available through the Materials
Transportation Bureau document inspection facility:
(1) Final opinions (including concurring and dissenting opinions, if
any) and orders made in the adjudication of cases and issued by the
Materials Transportation Bureau.
(2) Any policy or interpretation issued by the Research and Special
Programs Administration, including any policy or interpretation
concerning a particular factual situation, if that policy or
interpretation can reasonably be expected to have precedential value in
any case involving a member of the public in a similar situation.
(3) Any administrative staff manual or instruction to staff, issued
by the Materials Transportation Bureau, that affects any member of the
public including the prescribing of any standard, procedure, or policy
that, when implemented, requires or limits any action of any member of
the public or prescribes the manner of performance of any activity by
any member of the public.
(4) Indices to the material described in (1) through (3).
(c) The following records are available through the Data Services
Branch of the Office of Aviation Information Management's inspection
facility:
(1) Air Carrier Forms 41, 183, 217, 251, 291, 296-R, 298C, ICAO
Supplemental Reports and ER-586 and Origination and Destination outputs
which are maintained as a data base and reference source.
(d) The following records are available through the Transportation
Systems Center document inspection facility:
(1) RSPA Orders. (Described in paragraph (a)(4) above).
(2) RSPA Notices. (Described in paragraph (a)(5) above).
(3) TSC Orders. TSC orders are issued by the Transportation Systems
Center and are used primarily to promulgate internal TSC policy,
instructions, and general guidance.
(4) TSC Notices. TSC notices are issued by the Transportation
Systems Center and contain short-term instructions or information which
is expected to remain in effect for less than 90 days or for a
predetermined period of time normally not to exceed one year.
(5) Indices to the material described in (1) through (4).
(d) The records and the indexes may be inspected at each facility
without charge. A prepayment of fees may be required before copies of
records may be obtained, as described in subpart I this part.
4. Requests for Records Under Subpart F of this Part
Each person desiring to inspect a record, or to obtain a copy
thereof, should submit a request in writing to the appropriate RSPA
document inspection facility as identified in paragraph 2 of this
appendix. Should that facility not have custody of the record, it will
forward the request to the appropriate office. If the location of the
record is not known,
[[Page 88]]
the request should be submitted to the Freedom of Information Officer,
RSPA Headquarters, and that official will forward the request to the
appropriate office. Each request should be accompanied by a signed
authorization to conduct the search and agreement to pay any costs
incurred. Prepayment may be required before delivery is made. The
requester may stipulate a maximum fee which he or she will pay.
5. Reconsideration of Determination not to Disclose Records and to Deny
Fee Waivers
Any person who has been notified that a record or part of a record
that has been requested will not be disclosed or that a request for a
fee waiver or reduction will not be granted, either in whole or in part,
may appeal, in writing, to the Research and Special Programs
Administrator, U.S. Department of Transportation, 400 Seventh Street,
SW., Washington, DC 20590, for a reconsideration of the determination.
The decision of the Administrator is administratively final.
PART 8--CLASSIFICATION AND DECLASSIFICATION OF NATIONAL SECURITY INFORMATION AND MATERIAL--Table of Contents
Sec.
8.1 Scope.
8.3 Applicability.
8.5 Definitions.
8.7 Spheres of responsibility.
8.9 Security Review Committee.
8.11 Authority to classify information.
8.13 Authority to downgrade or declassify.
8.15 Review of exempted and excluded material.
8.17 Procedures for submitting and handling requests for classification
reviews.
8.19 Declassification of classified material after 30 years.
8.21 Burden of proof.
8.23 Classified material transferred to the Department of
Transportation.
8.25 Public availability of declassified information.
8.27 Access to historical researchers, former Presidential appointees
and contractors.
8.29 Industrial security.
Authority: E.O. 11652 (37 FR 5209), National Security Council
Directive of May 17, 1972 (37 FR 10053), and secs. 3 and 9 of the
Department of Transportation Act (49 U.S.C. 1652 and 1657).
Source: 37 FR 28297, Dec. 22, 1972, unless otherwise noted.
Sec. 8.1 Scope.
This part sets forth procedures affecting the public, for the
classification, declassification and availability of information, in
implementation of Executive Order 11652, ``Classification and
Declassification of National Security Information and Material.''
Sec. 8.3 Applicability.
The provisions of this part apply to all elements of the Department
of Transportation including the National Transportation Safety Board.
Sec. 8.5 Definitions.
As used in this part:
Classified information means official information which requires
protection against unauthorized disclosure in the interest of the
national security of the United States and which has been so designated.
The specific degree of protection required is designated by the
following classification categories:
(a) Top secret. That information or material which requires the
highest degree of protection and the unauthorized disclosure of which
could reasonably be expected to cause exceptionally grave damage to the
national security.
(b) Secret. That information or material which requires a
substantial degree of protection and the unauthorized disclosure of
which could reasonably be expected to cause serious damage to the
national security.
(c) Confidential. That national security information or material
which requires protection and the unauthorized disclosure of which could
reasonably be expected to cause damage to the national security.
Classify means to determine that official information requires, in
the interest of national security, a specific degree of protection
against unauthorized disclosure, coupled with a designation signifying
that such a determination has been made.
Declassify means to determine that information no longer requires
protection against unauthorized disclosure in the interest of national
security. Material will be re-marked to reflect this determination.
Downgrade means to determine that classified information requires a
lesser degree of protection against unauthorized disclosure in the
interests of national security than that currently assigned. Material
will be re-marked to reflect this determination.
[[Page 89]]
Sec. 8.7 Spheres of responsibility.
(a) Pursuant to the provisions of section 7(B)(2) of Executive Order
11652, the Assistant Secretary for Administration is hereby designated
as the senior staff officer of the Secretary of Transportation with
assigned responsibilities to assure effective compliance with and
implementation of the order, National Security Council Directives, and
this part.
(b) In the discharge of these responsibilities, the Assistant
Secretary for Administration shall be assisted by the Director of
Investigations and Security who, in addition to other actions directed
by this part, shall evaluate the overall application of and adherence to
the security policies and requirements prescribed herein and who shall
report his findings and recommendations to the Assistant Secretary for
Administration, heads of administrations, Chairman, National
Transportation Safety Board, and, as appropriate, to the Secretary.
(c) Secretarial Officers, heads of administrations, and the
Chairman, National Transportation Safety Board, shall assure the
effective administration of the provisions prescribed herein, that
adequate personnel and funding are provided for this purpose, and that
corrective actions which may be warranted are taken promptly.
Sec. 8.9 Security Review Committee.
(a) There is hereby established a Department of Transportation
Security Review Committee which shall have authority to:
(1) Act on all suggestions and complaints not otherwise resolved
with respect to the Department's administration of the Executive Order
and implementing directives, including those regarding
overclassification, failure to declassify, or delay in declassifying;
(2) Act on appeals of requests for classification reviews, and
appeals of requests for records under section 552 of title 5, United
States Code, (Freedom of Information Act), when the initial denial is
based on continued classification of the record; and
(3) Recommend to the Secretary, when necessary, appropriate
administrative action to correct abuse or violation of any provision of
the Executive order and implementing directives.
(b) The Security Review Committee shall be composed of the Assistant
Secretary for Administration who shall serve as Chairman, the General
Counsel, and the Director of Investigations and Security. When matters
affecting a particular administration or the National Transportation
Safety Board are at issue, the Associate Administrator for
Administration for that administration, the Chief of Staff for the U.S.
Coast Guard, or the General Manager for the National Transportation
Safety Board, as the case may be, shall participate as an ad hoc member,
together with the Chief Counsel for the particular element.
(c) The Chairman shall submit to the Interagency Classification
Review Committee quarterly reports of Departmental Committee actions on
classification review requests, classification abuses, and unauthorized
disclosure of classified information.
Sec. 8.11 Authority to classify information.
(a) Executive Order 11652 confers upon the Secretary of
Transportation the authority to originally classify information as
SECRET or CONFIDENTIAL with further authorization to delegate this
authority.
(b) The following delegations of authority to originally classify
information as ``SECRET'' or ``CONFIDENTIAL'', which may not be
redelegated, are hereby made:
(1) Office of the Secretary of Transportation. The Deputy Secretary;
Assistant Secretary for Transportation Policy; Assistant Secretary for
Aviation and International Affairs; Assistant Secretary for
Administration; Director of Investigations and Security; Director,
Transportation Systems Center.
(2) United States Coast Guard. The Commandant; Assistant Commandant;
Chief of Staff; Chief, Office of Marine Environment and Systems; Chief,
Office of Operations; Chief, Intelligence Staff; Commander, Eastern
Area; Commander, Western Area; Commanders, Coast Guard Districts;
Commander, Coast Guard Activities Europe.
[[Page 90]]
(3) Federal Aviation Administration. The Administrator; Deputy
Administrator; Associate Administrator for Administration; Assistant
Administrator for International Aviation Affairs; Director of Air
Transportation Security; Regional Directors; Director, Aeronautical
Center; Director, National Aviation Facilities Experimental Center.
(4) National Transportation Safety Board. Chairman of the Board;
General Manager.
(c) Although the delegations of authority set out in paragraph (b)
of this section are expressed in terms of positions, the authority is
personal and is invested only in the individual occupying the position.
The authority may not be exercised ``by direction of'' a designated
official. The formal appointment or assignment of an individual to one
of the identified positions or a designation in writing to act in the
absence of one of these officials, however, conveys the authority to
originally classify information as ``Secret'' or ``Confidential.''
(d) Previous delegations and redelegations of authority within the
Department of Transportation to originally classify information ``Top
Secret,'' ``Secret,'' or ``Confidential'' are hereby rescinded.
[37 FR 28297, Dec. 22, 1972, as amended at 59 FR 10061, 10064, Mar. 3,
1994]
Sec. 8.13 Authority to downgrade or declassify.
Information originally classified by the Department may be
specifically downgraded or declassified by the official authorizing the
original classification or by his successor; by a supervisory official
of either, or by higher authority; or by the Departmental Security
Review Committee.
Sec. 8.15 Review of exempted and excluded material.
(a) Background--(1) Classified material produced after June 1, 1972.
Executive Order 11652 establishes a General Declassification Schedule
under which classified material produced after June 1, 1972, becomes
automatically downgraded and declassified at prescribed intervals.
Exceptions to the General Declassification Schedule with respect to
material produced after June 1, 1972, are:
(i) Material which is downgraded or declassified earlier than
provided by the Schedule, based upon a predictable event or other
development; and
(ii) Material which is exempt from automatic declassification
because it may warrant protection for a period exceeding that provided
by the Schedule.
Decisions to exempt material from the General Declassification Schedule
may be made only by an official authorized to originally classify
information as Top Secret, and only if the information falls within one
of four categories established by the Executive order. Material which
has been exempted from the General Declassification Schedule is subject
to a mandatory classification review as specified in paragraph (b) of
this section.
(2) Classified material produced prior to June 1, 1972. Classified
material produced prior to June 1, 1972, and which was marked group 1,
group 2, or group 3 in accordance with the provisions of Executive Order
10501, as amended (26 FR 8932, Sept. 22, 1961), or which is not group
marked, is excluded from automatic declassification, but is subject to a
mandatory classification review as specified in paragraph (b) of this
section.
(b) Requirement for classification review. Classified material which
is exempt from the General Declassification Schedule, and classified
material which is excluded from automatic declassification shall be
subject to a mandatory classification review for declassification
purposes at any time after the expiration of 10 years from the date it
was produced, provided that:
(1) A department or agency or a member of the public requests a
review;
(2) The request describes the record with sufficient particularity
to permit the record to be identified; and
(3) The record can be obtained with only a reasonable amount of
effort.
(c) Remarking. Material which no longer warrants classification as
determined by the review shall be declassified, and so marked. Material
which continues to warrant classification
[[Page 91]]
shall be marked to indicate that a review was conducted. Whenever
possible, a date for automatic declassification shall be established and
the material so marked.
Sec. 8.17 Procedures for submitting and handling requests for classification reviews.
(a) The Director of Investigations and Security, Office of the
Secretary of Transportation, 400 Seventh Street SW, Washington, DC
20590, is hereby designated as the office to whom a member of the public
or another department or agency should submit a request for a
classification review of classified material produced by or under the
primary cognizance of the Department. Elements of the Department which
may receive a request directly shall immediately notify the Director.
(b) If the request for classification review involves material
produced by or under the cognizance of the U.S. Coast Guard, the Federal
Aviation Administration, or the National Transportation Safety Board,
the Director shall forward the request to the headquarters security
staff of the element concerned for action. If the request involves
material produced by other Departmental elements, the Director shall
serve as the office acting on the request.
(c) The office acting on the request shall:
(1) Immediately acknowledge receipt of the request and provide a
copy of the correspondence to the Director. If a fee for search of
records is involved pursuant to part 7, subpart H of the regulations of
the Office of the Secretary (part 7, subpart H, of this subtitle), or,
in the case of material of the National Transportation Safety Board,
pursuant to the regulations of the National Transportation Safety Board
(14 CFR part 401, subpart C) [part 401 was redesignated as 49 CFR part
801, at 40 FR 30235, July 17, 1975], the requester shall be so notified;
(2) Conduct a security review which shall include consultation with
the office which produced the material and with source authorities when
the classification, or exemption of material from automatic
declassification, was based upon determinations by an original
classifying authority; and
(3) Assure that the requester is notified of the determination
within 30 days or given an explanation as to why further time is
necessary, and provide a copy of the notification to the Director of
Investigations and Security.
(d) Whenever a request is insufficient in the description of the
record sought, the requester shall be asked to limit his request to
records that are reasonably obtainable. If, in spite of these steps, the
requester does not describe the records with sufficient particularity,
or the record requested cannot be obtained with a reasonable amount of
effort, the requester shall be notified of the reasons why the request
is denied and of his right to appeal the determination. Denial of a
request to review based on the provisions of this paragraph shall be
taken only under the most extreme circumstances.
(e) If the determination reached is that continued classification is
required, the notification to the requester shall include, whenever
possible, a brief statement as to why the requested material cannot be
declassified. The notification shall also advise the requester of his
right to appeal the determination. A requester who wishes to appeal a
classification review decision, or who has not been notified of a
decision after 60 days, may submit his appeal to the Chairman, Security
Review Committee, Department of Transportation, 400 Seventh Street SW.,
Washington, DC 20590.
(f) If the determination reached is that continued classification is
not required, the information shall be declassified and the material
remarked. The office acting on the request shall then refer the request
to the office originating the material or higher authority to determine
if it is otherwise available for public release under the Freedom of
Information Act (5 U.S.C. 552) and part 7 of the regulations of the
Office of the Secretary (part 7 of this subtitle, ``Public Availability
of Information'').
(1) If the material is available under the Freedom of Information
Act, the requester shall be advised that the material has been
declassified and is available. If the request involves the furnishing of
copies and a fee is to be
[[Page 92]]
collected, the requester shall be so advised pursuant to part 7, subpart
H of the regulations of the Office of the Secretary (part 7, subpart H,
of this subtitle), or in the case of National Transportation Safety
Board material, pursuant to the regulations of the National
Transportation Safety Board (14 CFR part 401, subpart C) [part 401 was
redesignated as 49 CFR part 801, at 40 FR 30235, July 17, 1975].
(2) If the material is not available under the Freedom of
Information Act, the requester shall be advised that the material has
been declassified but that the record is unavailable pursuant to the
Freedom of Information Act, and that the provisions concerning
procedures for reconsidering decisions not to disclose records,
contained in subpart G of part 7 of the regulations of the Office of the
Secretary (part 7, subpart G, of this subtitle), or in the case of
National Transportation Safety Board material, in 14 CFR part 401,
subpart E [part 401 was redesignated as 49 CFR part 801, at 40 FR 30235,
July 17, 1975], apply.
(g) Upon receipt of an appeal from a classification review
determination based upon continued classification, the Departmental
Security Review Committee shall immediately acknowledge receipt and act
on the matter within 30 days. With respect to information originally
classified by or under the primary cognizance of the Department, the
Committee, acting for the Secretary, has authority to overrule previous
determinations in whole or in part when, in its judgment, continued
protection in the interest of national security is no longer required.
When the classification of the material produced in the Department is
based upon a classification determination made by another department or
agency, the Security Review Committee shall immediately consult with its
counterpart committee for that department.
(1) If it is determined that the material produced in the Department
requires continued classification, the requester will be so notified and
advised of his right to appeal the decision to the Interagency
Classification Review Committee.
(2) If it is determined that the material no longer requires
classification, it shall be declassified and remarked. The committee
shall refer the request to the general counsel, or to the head of the
operating administration concerned, or to the Chairman, National
Transportation Safety Board, as the case may be, to determine if the
material is otherwise available for public release under the Freedom of
Information Act (5 U.S.C. 552) and the relevant regulations, and the
provisions set forth in paragraphs (f)(1) and (2) of this section shall
be followed. A copy of the response to the requester shall be provided
to the committee.
(h) Requests for a classification review of material more than 30
years old shall be referred directly to the Archivist of the United
States and the requester shall be notified of the referral. In this
event, the provisions of Sec. 8.19 apply.
Sec. 8.19 Declassification of classified material after 30 years.
(a) Classified material produced in the Department after June 1,
1972, which remains in a protected status, will become automatically
declassified at the end of 30 full calendar years after the date of its
original classification. If it appears, however, that continued
protection is essential to the national security or that disclosure
would place a person in immediate jeopardy, the matter shall be referred
to the Secretary, through the Director of Investigations and Security. A
determination that continued classification is warranted may be made
only by the Secretary.
(b) Classified material produced before June 1, 1972, and which is
more than 30 years old will be reviewed systematically for
declassification by the Archivist of the United States by the end of the
30th full calendar year following the year in which it was originated.
In his review, the Archivist will separate and keep protected only such
material produced by the Department as is specifically identified by the
Secretary as requiring protection. The Director of Investigations and
Security is designated as the liaison officer for the Department with
the Archivist for this
[[Page 93]]
purpose. Each administration shall advise the Director of Investigations
and Security of classified material under its cognizance which is or
becomes 30 years old. This notification shall also include
recommendations for protection of the material considered to warrant
continued classification in order that a determination by the Secretary
may be obtained.
Sec. 8.21 Burden of proof.
For the purpose of determinations to be made under Secs. 8.13, 8.15,
and 8.17, the burden of proof is on the originating element to show that
continued classification is warranted.
Sec. 8.23 Classified material transferred to the Department of Transportation.
(a) Classified material officially transferred to the Department
pursuant to statute or Executive order in conjunction with a transfer of
function, and not merely for storage purposes, shall be considered to
have been originated by the Department for the purpose of downgrading
and declassification.
(b) Classified material in the custody of the Department originated
by a department or agency which has ceased to exist and whose functions
and records were not officially transferred to another department shall
be downgraded and declassified by the Department in accordance with the
provisions of this part. If it appears that another department or agency
may have an interest in the subject matter of the material from a
classification standpoint, that department shall be advised of the
nature of the material and the intention to downgrade or declassify. The
notified department shall be allowed 30 days in which to express an
objection, if it so desires, before action is taken. A difference of
opinion which cannot be resolved shall be referred to the Departmental
Security Review Committee which will consult with its counterpart
committee for the respective department.
Sec. 8.25 Public availability of declassified information.
(a) It is a fundamental policy of the Department to make information
available to the public to the maximum extent permitted by law.
Information which is declassified for any reason loses its status as
material protected in the interest of national security. Accordingly,
declassified information shall be handled in every respect on the same
basis as all other unclassified information. Declassified information is
subject to the Departmental public information policies and procedures,
with particular reference to regulations of the Office of the Secretary
on public availability of information (part 7 of this subtitle) and the
Freedom of Information Act (5 U.S.C. 552).
(b) In furtherance of this policy, all classified material produced
after June 1, 1972, which is of sufficient historical or other value to
warrant preservation as permanent records in accordance with appropriate
records administrative standards, and which becomes declassified, shall
be systematically reviewed prior to the end of each calendar year for
the purpose of making the material publicly available. To the maximum
extent possible without destroying the integrity of the Department's
files, all such material shall be segregated or set aside for public
release upon request.
Sec. 8.27 Access to historical researchers, former Presidential appointees and contractors.
(a) Historical researchers. (1) Persons outside the executive branch
who are engaged in historical research projects may have access to
classified information provided that:
(i) Access to the information will be clearly consistent with the
interests of national security; and
(ii) The person to be granted access is trustworthy.
(2) The provisions of this paragraph apply only to persons who are
conducting historical research as private individuals or under private
sponsorship and do not apply to research conducted under Government
contract or sponsorship. The provisions are applicable only to
situations where the classified information concerned, or any part of
it, was originated by the Department or Department contractors, or where
the information, if originated elsewhere, is in the sole custody of the
Department.
[[Page 94]]
If any person requests access to material originated in another agency
or to information under the exclusive jurisdiction of the National
Archives and Records Service, General Services Administration, he will
be referred to the other agency or to the National Archives and Records
Service.
(3) When a request for access to classified information for
historical research is received, it will be referred to the appropriate
local security office. The security office shall obtain from the
applicant completed Standard Form 86 in triplicate, investigation data
for sensitive position, and Standard Form 87, fingerprint chart; a
statement in detail to justify access, including identification of the
kind of information desired and the organization or organizations, if
any, sponsoring the research; and a written statement (signed, dated,
and witnessed) with respect to the following:
(i) That he will abide by regulations issued by the Department:
(a) To safeguard classified information; and
(b) To protect information which has been determined to be
proprietary or privileged and is therefore not eligible for public
dissemination.
(ii) That he understands that any classified information which he
receives affects the security of the United States.
(iii) That he acknowledges an obligation to safeguard classified
information or privileged information of which he gains possession or
knowledge as a result of his access to files of the Department.
(iv) That he agrees not to reveal to any person or agency any
classified information or privileged information obtained as a result of
his access except as specifically authorized in writing by the
Department and further agrees that he shall not use the information for
purposes other than those set forth in his application.
(v) That he agrees to authorize a review of his notes and manuscript
for the sole purpose of determining that no classified information or
material is contained therein.
(vi) That he understands that failure to abide by conditions of this
statement will constitute sufficient cause for canceling his access to
classified information and for denying him any future access, and may
subject him to criminal provisions of Federal law as referred to in this
statement.
(vii) That he is aware and fully understands that the provisions of
title 18, United States Code, Crimes and Criminal Procedures, and of the
Internal Security Act of 1950, as amended, title 50, United States Code,
prescribe, under certain circumstances, criminal penalties for the
unauthorized disclosure of information respecting the national security
and for loss, destruction, or compromise of such information.
(viii) That this statement is made to the U.S. Government to enable
it to exercise its responsibilities for the protection of information
affecting the national security. That he understands that any material
false statement which he makes knowingly and willfully will subject him
to the penalties of title 18, United States Code, section 1001.
(4) The security office shall process the forms in the same manner
as specified for a preappointment national agency check for a critical-
sensitive position. Upon receipt of the completed national agency check,
the security office, if warranted, may determine that access by the
applicant to the information will be clearly consistent with the
interests of national security and the person to be granted access is
trustworthy. If deemed necessary, before making its determination, the
office may conduct or request further investigation. Before access is
denied in any case, the matter will be referred through channels to the
Director of Investigations and Security for review and submission to the
Secretary for final denial.
(5) If access to Top Secret, intelligence, or communications
security information is involved a full field investigation is required.
However, this investigation shall not be requested until the matter has
been referred through channels to the Director of Investigations and
Security for determination as to adequacy of the justification and the
consent of other agencies as required.
[[Page 95]]
(6) When it is indicated that an applicant's research may extend to
material originating in the records of another agency, approval must be
obtained from the other agency prior to the grant of access.
(7) Approvals for access shall be valid for the duration of the
current research project but no longer than 2 years from the date of
issuance, unless renewed. If a subsequent request for similar access is
made by the individual within 1 year from the date of completion of the
current project, access may again be granted without obtaining a new
National Agency Check. If more than 1 year has elapsed, a new National
Agency Check must be obtained. The local security office shall promptly
advise its security staff, headquarters, of all approvals of access
granted under these provisions.
(8) An applicant may be given access only to that classified
information which is directly pertinent to his approved project. He may
review files or records containing classified information only in
offices under the control of the Department. Procedures must be
established to identify classified material to which he is given access.
He must be briefed on local procedures established to prevent
unauthorized access to the classified material while in his custody, for
the return of the material for secure storage at the end of the daily
working period, and for the control of his notes until they have been
reviewed. In addition to the security review of the applicant's
manuscript, the manuscript must be reviewed by appropriate offices to
assure that it is technically accurate insofar as material obtained from
the Department is concerned and is consistent with the Department's
public release policies.
(b) Former Presidential appointees. Persons who previously occupied
policymaking positions to which they were appointed by the President may
be granted access to classified information or material which they
originated, reviewed, signed, or received, while in public office,
provided that:
(1) It is determined that such access is clearly consistent with the
interests of national security; and
(2) The person agrees to safeguard the information, to authorize a
review of his notes to assure that classified information is not
contained therein, and that the classified information will not be
further disseminated or published.
(c) Contractors. Classified information may be disclosed to DOT
contractors, subcontractors, bidders, and grantees, and to contractors
of other Government agencies, provided access to the information is
necessary to the performance of the contract and required security
clearances have been issued.
Sec. 8.29 Industrial security.
(a) Background. Executive Order 10865, as amended, Safeguarding
Classified Information Within Industry (25 FR 1583, February 24, 1960)
states,
The Secretary of State, the Secretary of Defense, the Secretary of
Transportation, the Commissioners of the Atomic Energy Commission, the
Administrator of the National Aeronautics and Space Administration,
respectively, shall, by regulation, prescribe such specific
requirements, restrictions, and other safeguards as they consider
necessary to protect:
(1) Releases of classified information to or within U.S. industry
that relate to bidding on, or the negotiation, award, performance, or
termination of, contracts with their respective agencies; and
(2) Other releases of classified information to or within industry
that such agencies have responsibility for safeguarding. So far as
possible, regulations prescribed by them under this order shall be
uniform and provide for full cooperation among the agencies concerned.
Executive Order 10865 also prescribes criteria for the issuance of
security clearances to industry personnel and requirements for the
adjudication of controverted cases.
(b) Implementing regulations. Under an agreement between the
Department of Defense and the Department of Transportation, regulations
prescribed by the Secretary of Defense to fulfill the provisions of
Executive Order 10865, as amended, have been extended to protect
releases of classified information for which the Secretary of
Transportation is responsible. Specifically, these regulations are:
(1) DOD 5220.22-R, Industrial Security Regulation;
(2) DOD 5220.22-M, Industrial Security Manual for Safeguarding
Classified
[[Page 96]]
Information, together with supplements; and
(3) DOD 5220.6, Industrial Personnel Security Clearance Program.
These regulations are effective within the Department, which functions
as a User Agency as prescribed in the regulations. Appropriate security
staffs, project personnel, and contracting officers assure that actions
required by the regulations are taken.
(c) Liaison and coordination with Department of Defense. The
Director of Investigations and Security shall maintain liaison and
coordination with the Department of Defense on behalf of the Department
on overall industrial security matters. The Director shall develop such
material as may be necessary to permit the Secretary to reach those
determinations specifically reserved to him by Executive Order 10865, as
amended, and the agreement between the Department of Defense and the
Department of Transportation.
PART 9--TESTIMONY OF EMPLOYEES OF THE DEPARTMENT AND PRODUCTION OF RECORDS IN LEGAL PROCEEDINGS--Table of Contents
Sec.
9.1 Purpose.
9.2 Applicability.
9.3 Definitions.
9.5 General prohibition of production or disclosure in legal
proceedings.
9.7 Testimony by employees before the Department or in other legal
proceedings in which the United States is a party.
9.9 Legal proceedings between private litigants: General rules.
9.11 Legal proceedings between private litigants: Demands.
9.13 Legal proceedings between private litigants: Procedures to request
records.
9.15 Legal proceedings between private litigants: Procedures to request
testimony.
9.17 Legal proceedings between private litigants: Procedures for taking
testimony.
9.19 Acceptance of service on behalf of Secretary.
Authority: 5 U.S.C. 301; 45 U.S.C. 41-42; 49 U.S.C. 322; 49 U.S.C.
504(f); 23 U.S.C. 409.
Source: 58 FR 6724, Feb. 2, 1993, unless otherwise noted.
Sec. 9.1 Purpose.
(a) This part sets forth procedures governing the testimony of an
employee in legal proceedings in which the United States is a party. It
also sets forth procedures to be followed when an employee is issued a
subpoena, order or other demand (collectively referred to in this part
as a ``demand'') by a court or other competent authority, or is
requested by a private litigant, to provide testimony or produce records
concerning information acquired in the course of performing official
duties or because of the employee's official status. It also prescribes
the policies and procedures of the Department with respect to the
acceptance of service of legal process and pleadings in legal
proceedings involving the Department.
(b) The purposes of this part are to:
(1) Conserve the time of employees for conducting official business;
(2) Minimize the possibility of involving the Department in
controversial issues not related to its mission;
(3) Maintain the impartiality of the Department among private
litigants;
(4) Avoid spending the time and money of the United States for
private purposes; and
(5) To protect confidential, sensitive information and the
deliberative processes of the Department.
(c) Agency counsel, in his or her discretion, may permit an
exception from any requirement in this part. The exception may be
granted only when the deviation will not interfere with matters of
operational or military necessity, and when agency counsel determines
that:
(1) It is necessary to prevent a miscarriage of justice;
(2) The Department has an interest in the decision that may be
rendered in the legal proceeding; or
(3) The exception is in the best interest of the Department or the
United States.
For Office of Inspector General employees and documents, the Inspector
General, in conjunction with the General Counsel of the Department, may
permit an exception from any requirement of this part if the Inspector
General determines, based on the Inspector General Act of 1978, as
amended, that application of the requirement would be inappropriate.
[[Page 97]]
Sec. 9.2 Applicability.
This part applies to the testimony of an employee in legal
proceedings in which the United States is a party. It also applies in
legal proceedings between private litigants to requests or demands for
testimony or records concerning information acquired in the course of an
employee performing official duties or because of the employee's
official status. This part does not apply to any legal proceeding in
which an employee is to testify as to facts or events that are in no way
related to the employee's official duties or the functions of the
Department. Nor does it apply to Congressional demands for testimony or
documents.
Sec. 9.3 Definitions.
For purposes of this part:
Department means the Department of Transportation (DOT), including
the Office of the Secretary (which encompasses the Office of the
Inspector General) and the following operating administrations while
they are part of DOT:
(a) The U.S. Coast Guard.
(b) The Federal Aviation Administration.
(c) The Federal Highway Administration.
(d) The Federal Railroad Administration.
(e) The Federal Transit Administration.
(f) The St. Lawrence Seaway Development Corporation.
(g) The National Highway Traffic Safety Administration.
(h) The Maritime Administration.
(i) The Research and Special Programs Administration.
(j) Any DOT operating administration established after the effective
date of this part.
Legal proceeding means any case or controversy pending before any
federal, state, or local court (including grand jury proceedings), any
administrative proceeding pending before any federal, state, or local
agency, or any legislative proceeding pending before any state or local
agency.
Legal proceeding between private litigants means any legal
proceeding in which neither the Department of Transportation nor the
United States (including any federal agency or officer of the United
States in his or her official capacity) is a party.
Employee of the Department or Employee means any current or former
officer or employee of the Department; any active duty, retired, or
former officer or enlisted member of the Coast Guard; or any current or
former contractor (including any corporation or other entity and any
employee or subcontractor).
Agency counsel means the General Counsel of the Department or the
Chief Counsel of any operating administration of the Department
concerned, any person to whom the General Counsel or Chief Counsel has
delegated authority, or any person who is authorized to represent the
Department in a specific legal proceeding.
Testimony means any written or oral statement by a witness,
including depositions, answers to interrogatories, affidavits,
declarations, and statements at a hearing or trial.
Sec. 9.5 General prohibition of production or disclosure in legal proceedings.
No employee of the Department may provide testimony or produce any
material contained in the files of the Department, or disclose any
information relating to, or based upon, material contained in the files
of the Department, or disclose any information or produce any material
acquired as part of the performance of that employee's official duties
or because of that employee's official status unless authorized in
accordance with this part, or by other applicable law.
Sec. 9.7 Testimony by employees before the Department or in other legal proceedings in which the United States is a party.
In any legal proceeding before the Department or in which the United
States (including any federal agency or officer of the United States) is
a party:
(a) Agency counsel shall arrange for an employee to testify as a
witness for the United States whenever the attorney representing the
United States requests it.
(b) An employee may testify for the United States both as to facts
within the employee's personal knowledge and
[[Page 98]]
as an expert or opinion witness. Except as provided in paragraph (c) of
this section, an employee may not testify as an expert or opinion
witness, with regard to any matter arising out of the employee's
official duties or the functions of the Department, for any party other
than the United States in any legal proceeding in which the United
States is a party. An employee who receives a demand to testify on
behalf of a party other than the United States may testify as to facts
within the employee's personal knowledge, provided that the testimony be
subject to the prior approval of agency counsel and to the Federal Rules
of Civil Procedure and any applicable claims of privilege.
(c) An employee may testify as an expert or opinion witness on
behalf of an officer or enlisted member of the Coast Guard in any legal
proceeding conducted by the Coast Guard.
Sec. 9.9 Legal proceedings between private litigants: General rules.
In legal proceedings between private litigants:
(a) The proper method for obtaining testimony or records from an
employee is to submit a request to agency counsel as provided in
Secs. 9.13 and 9.15 of this part, not to serve a demand on the employee.
Whenever, in a legal proceeding between private litigants, an employee
is served with a demand, or receives a request, to testify in that
employee's official capacity or produce records, the employee shall
immediately notify agency counsel.
(b) If authorized to testify pursuant to these rules, an employee
may testify only as to facts within that employee's personal knowledge
with regard to matters arising out of his or her official duties.
(1) When the proceeding arises from an accident, an employee may
testify only as to personally known facts, not reasonably available from
other sources, observed by the employee or uncovered during the
employee's investigation of the accident or observed by the employee
even if he or she did not investigate the accident. The employee shall
decline to testify regarding facts beyond the scope of his or her
official duties.
(2) The employee shall not testify to facts that are contained in a
report, or any part of a report, unless the employee has obtained
permission from agency counsel to disclose the information.
(3) The employee shall not disclose confidential or privileged
information unless the employee has obtained permission from agency
counsel to disclose the information.
(4) The employee shall not testify as to facts when agency counsel
determines that the testimony would not be in the best interest of the
Department or the United States if disclosed.
(c) An employee shall not testify as an expert or opinion witness
with regard to any matter arising out of the employee's official duties
or the functions of the Department. An employee who is asked questions
that call for expert or opinion testimony shall decline to answer on the
grounds that it is forbidden by this part. Agency counsel shall advise
the employee on how to proceed if the presiding officer directs the
employee to provide expert or opinion testimony.
(d) An employee shall not provide testimony at a trial or hearing.
An employee's testimony shall be limited to a single deposition,
affidavit, or set of interrogatories, concerning the circumstances (e.g.
an accident) from which the proceeding arose. Where multiple legal
proceedings concerning those circumstances are pending, or can occur, it
shall be the duty of the private litigant seeking the testimony to
ascertain, to the extent feasible, the identities of all parties, or
potential parties, to those proceedings and notify them that a
deposition has been granted and that they have the opportunity to
participate. The private litigant shall submit an affidavit or
certification describing the extent of the search for parties and
potential parties and listing the names of the parties and potential
parties notified.
(e) Where an employee has already provided testimony, any party
wishing to obtain further testimony from that employee concerning the
same matter or occurrence, whether in the same or a different private
legal proceeding,
[[Page 99]]
may submit a request to agency counsel to waive the restrictions of
paragraph (d) of this section. The request shall, in addition to meeting
the requirements of Sec. 9.15 of this part, state why the requester
should be permitted to gather additional information despite not having
previously requested the information when it had an opportunity to do
so, and why the additional testimony is now required and the prior
testimony or previously supplied documents are insufficient.
Sec. 9.11 Legal proceedings between private litigants: Demands.
(a) If an employee receives a demand that has not been validly
issued or served, agency counsel may instruct the employee not to comply
with the demand.
(b) If an employee receives a demand (validly issued and served) to
testify or produce records, agency counsel, in his or her discretion,
may grant the employee permission to testify or produce records only if
the purposes of this part are met or agency counsel determines that an
exception is appropriate.
(c) If a demand is issued to an employee, agency counsel shall
contact the requester of the demand, inform that person of the
requirements of this part, and may, in agency counsel's discretion, ask
that the demand be withdrawn.
(d) If the requester of the demand refuses to have it withdrawn or
fails to comply with this part, the Department may seek to quash the
demand.
(e) If the court or other competent authority declines to grant the
Department's motion to quash, agency counsel shall instruct the employee
whether to testify or produce documents pursuant to the demand. Agency
counsel may permit the testimony under Sec. 9.1(c) of this part. If
response to a demand is required before the court or other competent
authority rules on the motion to quash and the court fails to stay the
demand, the employee must appear at the stated time and place, produce a
copy of this part, and respectfully refuse to provide any testimony or
produce any documents. Agency counsel shall take steps to arrange for
legal representation for the employee. Agency counsel shall advise the
employee how to respond, including not to testify, if the court or other
competent authority rules that the demand must be complied with
irrespective of these regulations.
Sec. 9.13 Legal proceedings between private litigants: Procedures to request records.
(a) In a legal proceeding between private litigants, a party who
wishes to obtain records from the Department shall submit to agency
counsel a request for the records. The request will ordinarily be
handled in accordance with the Department's procedures concerning
requests for records found at 49 CFR part 7. If the party does not
follow the procedures specified in that part, the request must be
accompanied by a statement setting forth the relevance of the records to
the proceeding. The request should be resolved before any request for
testimony under Sec. 9.15 is submitted. Where a request for testimony
includes a request for additional records, it shall indicate precisely
how this new request differs in scope from any previous request in order
to avoid agency duplication of effort. Agency counsel shall notify the
requester of the approval or denial of the request.
(b) [Reserved]
Sec. 9.15 Legal proceedings between private litigants: Procedures to request testimony.
(a) Any party seeking the testimony of an employee in a legal
proceeding between private litigants, concerning facts within the
employee's personal knowledge with regard to matters arising out of the
employee's official duties, shall, rather than serving a demand for the
testimony, request the testimony at least 30 days before it is intended
to be taken or received. The request must be submitted to agency counsel
and must include:
(1) The title of the case, docket number, and the court, or
otherwise clearly identify the legal proceeding involved;
(2) A statement setting forth the basic facts in the proceeding,
such as the type, date, and location of an accident;
(3) A summary of the unresolved issues applicable to the testimony
sought;
[[Page 100]]
(4) A summary of the testimony sought and its relevant to the
proceeding;
(5) A certification with support, that the information desired is
not reasonably available from other sources, including Departmental
documents;
(6) Pursuant to Sec. 9.9(d) of this part, an affidavit or
certification describing the extent of a search of parties and potential
parties and listing the names of the parties and potential parties
notified; and
(7) A declaration that the party will not seek expert or opinion
testimony from the witness or seek the testimony of the witness at a
hearing or trial in the proceeding.
The request shall specify which form of testimony (deposition,
affidavit, declaration, or answers to interrogatories) is desired and
the date by which it is desired; however, only one form, the one least
burdensome to the Department that will provide the needed information,
will be permitted for each witness.
(b) The party seeking the testimony shall include with its request
for testimony a copy of any prior request(s) made by the same requester
to the Department or other agency of the United States for records
pertaining to the matter being litigated and of the response (not
including the records themselves) to the request(s). The party seeking
the testimony shall also comply with any agency counsel request that
copies of the records previously disclosed by the Department, or a list
of those records, be furnished.
(c) In accordance with the requirement of this section and the
general provisions of this part, agency counsel shall notify the
requester of the approval or denial of the request. Agency counsel may
attach special conditions to its approval.
Sec. 9.17 Legal proceedings between private litigants: Procedures for taking testimony.
(a) Testimony of an employee of the Department may be taken only at
the office to which the employee is assigned, or any other place
designated by agency counsel. Additional conditions may be specified
under Sec. 9.15(c) of this part. The time shall be reasonably fixed to
avoid substantial interference with the performance of the employee's or
agency counsel's official duties.
(b) Upon completion of the testimony of an employee of the
Department, a copy of the transcript of the testimony shall be
furnished, at the expense of the party requesting the testimony, to
agency counsel for the Department's files.
Sec. 9.19 Acceptance of service on behalf of Secretary.
In any legal proceeding, at the option of the server, process or
pleadings may be served on agency counsel, with the same effect as if
served upon the Secretary or the head of the operating administration
concerned, as the case may be. The official accepting service under this
section shall acknowledge the service and take appropriate action. This
section does not in any way abrogate or modify the requirements of Rule
4(d)(4) and 4(d)(5) of the Federal Rules of Civil Procedure regarding
service of summons and complaint.
PART 10--MAINTENANCE OF AND ACCESS TO RECORDS PERTAINING TO INDIVIDUALS--Table of Contents
Subpart A--Applicability and Policy
Sec.
10.1 Applicability.
10.3 Policy.
10.5 Definitions.
Subpart B--General
10.11 Administration of part.
10.13 Privacy Act Officer.
10.15 Protection of records.
Subpart C--Maintenance of Records
10.21 General.
10.23 Accounting of disclosures.
10.25 Mailing lists.
10.27 Government contractors.
10.29 Social Security numbers.
Subpart D--Availability of Records
10.31 Requests for records.
10.33 Acknowledgment and access.
10.35 Conditions of disclosure.
10.37 Identification of individual making request.
10.39 Location of records.
[[Page 101]]
Subpart E--Correction of Records
10.41 Requests for correction of records.
10.43 Time limits.
10.45 Statement of disagreement.
Subpart F--Procedures for Reconsidering Decisions not to Grant Access to
or Amend Records
10.51 General.
Subpart G--Exemptions
10.61 General exemptions.
10.63 Specific exemptions.
Subpart H--Fees
10.71 General.
10.73 Payment of fees.
10.75 Fee schedule.
10.77 Services performed without charge.
Subpart I--Criminal Penalties
10.81 Improper disclosure.
10.83 Improper maintenance of records.
10.85 Wrongfully obtaining records.
Appendix A to Part 10--Exemptions
Appendix B to Part 10--Office of the Secretary
Appendix C to Part 10--U.S. Coast Guard
Appendix D to Part 10--Federal Aviation Administration
Appendix E to Part 10--Federal Highway Administration
Appendix F to Part 10--Federal Railroad Administration
Appendix G to Part 10--National Highway Traffic Safety Administration
Appendix H to Part 10--Urban Mass Transportation Administration
Appendix I to Part 10--Saint Lawrence Seaway Development Corporation
Appendix J to Part 10--Research and Special Programs Administration
Authority: 5 U.S.C. 552a; 49 U.S.C. 322.
Source: 45 FR 8993, Feb. 11, 1980, unless otherwise noted.
Subpart A--Applicability and Policy
Sec. 10.1 Applicability.
(a) This part implements section 552a of title 5, United States
Code, as well as other provisions of the Privacy Act of 1974, and
prescribes rules governing the availability of those records of the
Department of Transportation which relate to citizens of the United
States and aliens lawfully admitted for permanent residence.
(b) Appendices B through J to this part:
(1) Describe the places and times at which records are available for
inspection and copying;
(2) Indicate the systems of records located at each facility;
(3) Identify the officials having authority to deny requests for
disclosure of records under this part;
(4) Describe the procedures to be followed in requesting correction
of a record in accordance with Sec. 10.41 of this part; and
(5) List additional personal identification requirements in
accordance with Sec. 10.37 of this part.
(c) The Assistant Secretary for Administration may amend appendix B
to this part to reflect any changes in the items covered by that
appendix, relating to the Office of the Secretary of Transportation. The
Administrator concerned may amend the appendix applicable to that
administration to reflect any changes in the terms covered by that
appendix.
(d) Appendix A to this part identifies systems of records which are
exempt from some of the requirements of this part, in accordance with
subpart G and 5 U.S.C. 552a (j) and (k). Appendix A may be amended by
the General Counsel upon the request of the Assistant Secretary for
Administration in the case of a system of records maintained by the
Office of the Secretary or the Administrator concerned in the case of a
system of records maintained by an operating administration.
Sec. 10.3 Policy.
It is the policy of the Department of Transportation to comply with
the letter and the spirit of the Privacy Act (the Act). Therefore,
personal data contained in each system of records is afforded adequate
protection against unauthorized access, is as accurate as is feasible,
and is limited to that necessary to accomplish the stated use or uses of
the system. Further, no system of records is exempted from the
requirements of the Act unless it is determined that to do so is in the
best interest of the government with due concern for individual rights.
[[Page 102]]
Sec. 10.5 Definitions.
Unless the context requires otherwise, the following definitions
apply in this part:
Administrator means the head of an operating administration and
includes the Commandant of the Coast Guard.
Department means the Department of Transportation, including the
Office of the Secretary and the following operating administrations:
(a) The United States Coast Guard.
(b) The Federal Aviation Administration.
(c) The Federal Highway Administration.
(d) The Federal Railroad Administration.
(e) The National Highway Traffic Safety Administration.
(f) The Urban Mass Transportation Administration.
(g) The St. Lawrence Seaway Development Corporation.
(h) The Research and Special Programs Administration.
General Counsel means the General Counsel of the Department.
Includes means ``includes but is not limited to;''
Individual means a citizen of the United States or an alien lawfully
admitted;
Maintain includes maintain, collect, use, or disseminate;
May is used in a permissive sense to state authority or permission
to do the act prescribed;
Record means any item, collection, or grouping of information about
an individual that is maintained by the Department including, but not
limited to, education, financial transactions, medical history, and
criminal or employment history and that contains the name of, or an
identifying number, symbol, or other identifying particular assigned to,
the individual, such as a finger or voice print or a photograph;
Secretary means the Secretary of Transportation or any person to
whom has been delegated authority in the matter concerned;
System of records means a group of any records under the control of
the Department from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other identifying
particular assigned to the individual;
Statistical record means a record in a system of records maintained
for statistical research or reporting purposes only and not in whole or
in part in making any determination about an identifiable individual,
except as provided by section 8 of title 13, United States Code; and
Routine use means, with respect to the disclosure of a record, the
use of such record for a purpose which is compatible with the purpose
for which it was collected.
Subpart B--General
Sec. 10.11 Administration of part.
Except as provided in subpart F of this part, authority to
administer this part in connection with the records of the Office of the
Secretary is delegated to the Assistant Secretary for Administration.
Authority to administer this part in connection with records in each
operating administration is delegated to the Administrator concerned. An
Administrator may redelegate to officers of that administration the
authority to administer this part in connection with defined systems of
records. An Administrator, however, may redelegate his or her duties
under subparts F and G of this part only to his or her deputy and to not
more than one other officer who reports directly to the Administrator
and who is located at the headquarters of that administration or at the
same location as the majority of that administration's systems of
records.
Sec. 10.13 Privacy Act Officer.
(a) To assist in the oversight of the implementation and continuing
administration and in evaluating the effectiveness of compliance with
the Act, the Assistant Secretary for Administration appoints a principal
coordinating official with the title Privacy Act Officer, and one
Privacy Act Coordinator from his staff.
(b) Inquiries concerning Privacy Act matters, or requests for
assistance, may be addressed to the Privacy Act Officer (M-30),
Department of Transportation, 400 Seventh Street, SW., Washington, DC
20590.
[[Page 103]]
(c) Administrators may designate Privacy Act Officers or
Coordinators to act as central coordinators within their administrations
to assist them in administering the Act.
Sec. 10.15 Protection of records.
(a) No person may, without permission, remove any record made
available for inspection or copying under this part from the place where
it is made available. In addition, no person may steal, alter, mutilate,
obliterate, or destroy, in whole or in part, such a record.
(b) Section 641 of title 18 of the United States Code provides, in
pertinent part, as follows:
Whoever * * * steals, purloins, or knowingly converts to his use or
the use of another, or without authority, sells, conveys or disposes of
any record * * * or thing of value of the United States or of any
department or agency thereof * * * shall be fined not more than $10,000
or imprisoned not more than 10 years or both; but if the value of such
property does not exceed the sum of $100, he shall be fined not more
than $1,000 or imprisoned not more than one year or both * * *.
(c) Section 2071 of title 18 of the United States Code provides, in
pertinent part, as follows:
Whoever willfully and unlawfully conceals, removes, mutilates,
obliterates, or destroys, or attempts to do so, or with intent to do so
takes and carries away any record, proceeding, map, book, paper,
document, or other thing, filed or deposited * * * in any public office,
or with any * * * public officer of the United States, shall be fined
not more than $2,000 or imprisoned not more than 3 years, or both.
Subpart C--Maintenance of Records
Sec. 10.21 General.
Except to the extent that a system of records is exempt in
accordance with subpart G of this part, the Department, with respect to
each system of records:
(a) Maintains in its records only such information about an
individual as is relevant and necessary to accomplish a purpose of the
Department required to be accomplished by statute or by executive order
of the President;
(b) Collects information to the greatest extent practicable directly
from the subject individual when the information may result in adverse
determinations about an individual's rights, benefits, or privileges
under Federal programs;
(c) Informs each individual whom it asks to supply information, on
the form which it uses to collect the information or on a separate form
that can be retained by the individual of:
(1) The authority (whether granted by statute, or by executive order
of the President) which authorizes the solicitation of the information
and whether disclosure of such information is mandatory or voluntary;
(2) The principal purpose or purposes for which the information is
intended to be used;
(3) The routine uses, as published pursuant to paragraph (d)(4) of
this section, which may be made of the information; and
(4) The effects, if any, on the individual of not providing all or
any part of the requested information;
(d) Publishes in the Federal Register at least annually a notice of
the existence and character of the system of records, including:
(1) The name and location of the system;
(2) The categories of individuals on whom records are maintained in
the system;
(3) The categories of records maintained in the system;
(4) Each routine use of the records contained in the system,
including the categories of users and the purpose of such use;
(5) The policies and practices regarding storage, retrievability,
access controls, retention, and disposal of the records;
(6) The title and business address of the official responsible for
the system of records;
(7) The procedures whereby an individual can be notified upon
request if the system of records contains a record pertaining to that
individual;
(8) The procedures whereby an individual can be notified upon
request how to gain access to any record pertaining to that individual
contained in the system of records, and how to contest its content; and
[[Page 104]]
(9) The categories of sources of records in the system;
(e) Maintains all records which are used in making any determination
about any individual with such accuracy, relevancy, timeliness, and
completeness as is reasonably necessary to assure fairness to the
individual in the determination;
(f) Prior to disseminating any record about an individual to any
person other than an agency, unless the dissemination is made pursuant
to Sec. 10.35(a)(2), makes reasonable efforts to assure that such
records are accurate, complete, timely, and relevant for the
Department's purposes;
(g) Maintains no record describing how any individual exercises
rights guaranteed by the First Amendment unless:
(1) Expressly authorized by the General Counsel; and
(2) Expressly authorized by statute or by the individual about whom
the record is maintained or unless pertinent to and within the scope of
an authorized law enforcement activity;
(h) Makes reasonable efforts to serve notice on an individual when
any record on such individual is made available to any person under
compulsory legal process when such process becomes a matter of public
record.
Sec. 10.23 Accounting of disclosures.
Each operating administration and the Office of the Secretary, with
respect to each system of records under its control:
(a) Except for disclosures made under Sec. 10.35(a) (1) or (2) of
this part, keep an accurate accounting of:
(1) The date, nature, and purpose of each disclosure of a record to
any person or to another agency made under Sec. 10.33; and
(2) The name and address of the person or agency to whom the
disclosure is made;
(b) Retains the accounting made under paragraph (a) of this section
for at least five years or the life of the record, whichever is longer,
after the disclosure for which the accounting is made;
(c) Except for disclosures made under Sec. 10.33(a)(7) of this part,
makes the accounting made under paragraph (a)(1) of this section
available to the individual named in the record at his request; and
(d) Informs any person or other agency about any correction or
notation of dispute made by the agency in accordance with Sec. 10.45 of
any record that has been disclosed to the person or agency if an
accounting of the disclosure was made.
Sec. 10.25 Mailing lists.
An individual's name and address is not sold or rented unless such
action is specifically authorized by law. This provision shall not be
construed to require the withholding of names and addresses otherwise
permitted to be made public.
Sec. 10.27 Government contractors.
When the Department provides by a contract for the operation by or
on behalf of the Department of a system of records to accomplish a
function of the Department, the requirements of this part are applied to
such system. For purposes of subpart I, Criminal Penalties, any such
contractor and any employee of the contractor are considered, in
accordance with section 3(m) of the Privacy Act, to be employees of the
Department.
Sec. 10.29 Social Security numbers.
(a) No individual is denied any right, benefit, or privilege
provided by law because of such individual's refusal to disclose his
Social Security account number.
(b) The provisions of paragraph (a) of this section do not apply to:
(1) Any disclosure which is required by Federal statute; or
(2) The disclosure of a Social Security number when such disclosure
was required under statute or regulation adopted prior to January 1,
1975, to verify the identity of an individual.
(c) When an individual is requested to disclose his or her Social
Security account number, that individual is informed whether that
disclosure is mandatory or voluntary, by what statutory or other
authority such number is solicited, what uses are made of it, and what
detriments, including delay in the location of records, are incurred if
the number is not provided.
[[Page 105]]
Subpart D--Availability of Records
Sec. 10.31 Requests for records.
(a) Ordinarily, each person desiring to determine whether a record
pertaining to him or her is contained in a system of records covered by
this part or desiring access to a record covered by this part, or to
obtain a copy of such a record, shall make a request in writing as
provided in the pertinent appendix to this part. In exceptional cases
oral requests are accepted.
(b) Each request shall specify the name of the requesting individual
and the system of records in which the subject record is located or
thought to be located. If assistance is required to determine the system
of records identification number assigned in the systems notices, such
assistance may be obtained from the appropriate Privacy Act officer or
his assistant. Refer to Sec. 10.13 for procedures for requesting
assistance.
Sec. 10.33 Acknowledgment and access.
(a) Requests by an individual to determine whether he or she is the
subject of a record in a system of records, or requesting access to a
record in a system of records, should be acknowledged within 10 working
days, where the request is by mail. For requests in person, an immediate
response is given, either granting access or informing such individual
when notification or access may be expected.
(b) If the response granting access or copies of the record is made
within 10 working days, separate acknowledgment is not required.
(c) Although requests for access to a record are normally in
writing, e.g., by filing a written form or letter, it is the option of
the individual to mail or present the request form in person.
Sec. 10.35 Conditions of disclosure.
(a) No record which is contained within a system of records within
the Department is disclosed by any means of communication to any person,
or to another agency, except pursuant to a written request by, or with
the prior written consent of, the individual to whom the record
pertains, unless disclosure of the record would be:
(1) To those officers and employees of the Department who have a
need for the record in the performance of their duties;
(2) Required under part 7 of this title which implements the Freedom
of Information Act;
(3) For a routine use as defined in Sec. 10.5 and described pursuant
to Sec. 10.21(d)(4);
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13, United States Code;
(5) To a recipient who has provided the Department with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable;
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the U.S. Government, or for evaluation by the
Administrator of General Services or his designee to determine whether
the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the agency which maintains the record specifying the
particular portion desired and the law enforcement activity for which
the record is sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if upon such disclosure
notification is transmitted to the last known address of such
individual;
(9) To either House of the Congress, or to the extent of matters
within its jurisdiction, any committee or subcommittee thereof, any
joint committee of the Congress or subcommittee of any such joint
committee;
(10) To the Comptroller General, or any authorized representatives,
in the course of the performance of the duties of the General Accounting
Office; or
[[Page 106]]
(11) Pursuant to the order of a court of competent jurisdiction.
(b) Any individual requesting access to his or her record or to any
information pertaining to that individual which is contained within a
system of records within the Department has access to that record or
information unless the system of records within which the record or
information is contained is exempted from disclosure in accordance with
subpart G, provided, however, that nothing in this part is deemed to
require that an individual be given access to any information compiled
in reasonable anticipation of a civil action or proceeding. No exemption
contained in subpart G of part 7 of the regulations of the Office of the
Secretary is relied upon to withhold from an individual any record which
is otherwise accessible to such individual under the provisions of this
part. Any individual who is given access to a record or information
pertaining to him is permitted to have a person of his or her own
choosing accompany him and to have a copy made of all or any portion of
the record or information in a form comprehensible to the individual.
When deemed appropriate, the individual may be required to furnish a
written statement authorizing discussion of his record in the
accompanying person's presence.
(c) Medical records.Where requests are for access to medical
records, including psychological records, the decision to release
directly to the individual, or to withhold direct release, shall be made
by a medical practitioner. Where the medical practitioner has ruled that
direct release will do harm to the individual who is requesting access,
normal release through the individual's chosen medical practitioner will
be recommended. Final review and decision on appeals of disapprovals of
direct release will rest with the General Counsel.
(d) Any person requesting access to records or to any information
pertaining to other individuals is not granted such access unless that
person can show that he or she has obtained permission for such access
from the individual to whom the record pertains, unless the request
comes within one of the exceptions of paragraph (a) of this section.
Sec. 10.37 Identification of individual making request.
No record or information contained in a system of records is
disclosed to an individual nor is any correction of a record in
accordance with subpart E made at the request of an individual unless
that individual demonstrates that he or she is who he or she claims to
be. Normally, identity can be proven for individuals who appear in
person by the presentation of an identifying document issued by a
recognized organization (e.g., a driver's license or a credit card) and
which contains a means of verification such as a photograph or a
signature. For requests by mail, the unique identifier used in the
system should be included if known. Responses to mail requests are
normally sent only to the name and address listed in the system of
records. In the case of particularly sensitive records, additional
identification requirements may be imposed. In such cases, these
additional requirements are listed in the public notice for the system
and in the appropriate appendix to this part.
Sec. 10.39 Location of records.
Each record made available under this subpart is available for
inspection and copying during regular working hours at the place where
it is located, or, upon reasonable notice, at the document inspection
facilities of the Office of the Secretary or each administration as set
forth in the appendix applicable to that office or administration.
Original records may be copied but may not be released from custody.
Upon payment of the appropriate fee, copies are mailed to the requester.
Subpart E--Correction of Records
Sec. 10.41 Requests for correction of records.
Any person who desires to have a record pertaining to that person
corrected shall submit a written request detailing the correction and
the reasons the record should be so corrected. Requests for correction
of records shall be submitted in accordance with the procedures of the
organization set
[[Page 107]]
forth in appendices B through J to this part for the appropriate
operating element of the Department.
Sec. 10.43 Time limits.
Within ten days (excluding Saturday, Sunday, and legal holidays) of
the receipt in accordance with Sec. 10.41 of a request by an individual
to amend a record pertaining to him, the receipt of the request is
acknowledged in writing. If a determination is made to correct the
record as requested, the correction is promptly made. If a determination
is made not to correct a record the individual is informed promptly of
the right to appeal in accordance with subpart F. If an appeal of a
refusal to correct a record is in accordance with subpart F, a
determination whether to correct the record is made within thirty days
(excluding Saturday, Sunday, and legal holidays) of the receipt of the
appeal unless, for good cause shown the Administrator concerned, or in
the case of the Office of the Secretary, the General Counsel, extends
such period. Where an extension is taken, the party taking the appeal is
promptly notified of such fact.
Sec. 10.45 Statement of disagreement.
If a determination is made not to amend a record, the requester is
informed of the right to file a concise statement setting forth the
reasons for disagreement with the refusal to amend. In any disclosure
containing information about which an individual has filed such a
statement of disagreement, the portions of the record which are disputed
are noted clearly and copies of the statement of disagreement provided.
If the Administrator concerned or his or her delegee, or in the case of
the Office of the Secretary, the General Counsel or his or her delegee,
deems it appropriate, copies of a concise statement of the reasons for
not making the amendments requested may be provided along with the
statement of disagreement.
Subpart F--Procedures for Reconsidering Decisions not to Grant Access to
or Amend Records
Sec. 10.51 General.
(a) Each officer or employee of the Department who, upon a request
by a member of the public for a record under this part, makes a
determination that access is not to be granted or who determines not to
amend a record in a requested manner, gives a written statement of the
reasons for that determination to the person making the request and
indicates the name and title or position of each person responsible for
the denial of such request and the procedure for appeal within the
Department.
(b) Any person:
(1) Who has been given a determination pursuant to paragraph (a) of
this section, that access will not be granted; or
(2) Who has been informed that an amendment to a requested record
will not be made;
may apply to the Administrator concerned, or in the case of the Office
of the Secretary, to the General Counsel for review of that decision. A
determination that access will not be granted or a record amended is not
administratively final for the purposes of judicial review unless it was
made by the Administrator concerned or his or her delegee, or the
General Counsel or his or her delegee, as the case may be. Upon a
determination that an appeal will be denied, the requester is informed
in writing of the reasons for the determination, and the names and
titles or positions of each person responsible for the determination,
and that the determination may be appealed to the District Court of the
United States in the district in which the complainant resides, or has
his or her principal place of business, or in which the records are
located, or in the District of Columbia.
(c) Each application for review must be made in writing and must
include
[[Page 108]]
all information and arguments relied upon by the person making the
request. It is recommended that such request be made within 180 days of
the date of the initial denial; however, exceptions to this time period
are considered in the event that a longer time is required for good
reasons.
(d) Upon a determination that a request for the correction of a
record will be denied, the requester is informed that he may file a
concise statement in accordance with Sec. 10.45.
(e) Each application for review must indicate that it is an appeal
from a denial of a request made under the Privacy Act. The envelope in
which the application is sent should be marked prominently with the
words ``Privacy Act.'' If these requirements are not met, the time
limits described in Sec. 10.43 do not begin to run until the application
has been identified by an employee of the Department as an application
under the Privacy Act and has been received by the appropriate office.
(f) The Administrator concerned, or the General Counsel, as the case
may be, may require the person making the request to furnish additional
information, or proof of factual allegations, and may order other
proceedings appropriate in the circumstances. The decision of the
Administrator concerned, or the General Counsel, as the case may be, as
to the availability of the record or whether to amend the record is
administratively final.
(g) The decision by the Administrator concerned, or the General
Counsel, as the case may be, not to disclose a record under this part is
considered a determination for the purposes of section 552a(g) of title
5, United States Code, ``Civil Remedies.''
(h) Any final decision by an Administrator or his or her delegee,
identified in appendices B through J of this part, not to grant access
to or amend a record under this part, is subject to concurrence by the
General Counsel or his or her delegee.
Subpart G--Exemptions
Sec. 10.61 General exemptions.
(a) The Assistant Secretary for Administration, with regard to the
Investigations Divisions; the Federal Aviation Administrator, with
regard to the FAA's Investigative Record System (DOT/FAA 815) and also
with regard to the police functions of the National Capital Airport
Police; and the Commandant of U.S. Coast Guard, with regard to the
Intelligence and Security Division, may exempt from any part of the Act
and this part except subsections (b), (c)(1) and (2), (e)(4)(A) through
(F), (e)(6), (7), (9), (10), and (11), and (i) of the Act, and
implementing Secs. 10.35, 10.23(a) and (b), 10.21(d)(1) through (6),
10.81, 10.83, and 10.85, any systems of records, or portions thereof,
which they maintain which consist wholly of;
(1) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, the nature and disposition of
criminal charges, sentencing, confinement, release, and parole and
probation status;
(2) Information compiled for the purpose of a criminal
investigation, including reports of informants and investigators, and
associated with an identifiable individual; or
(3) Reports identifiable to an individual compiled at any stage of
the process of enforcement of the criminal laws from arrest or
indictment through release from supervision.
(b) The requirements (including general notice) of sections
553(b)(1), (2) and (3), and (c) and (e) of title 5, United States Code,
will be met by publication in appendix A to this part, which must, at a
minimum, specify:
(1) The name of the system; and
(2) The specific provisions of the Act from which the system is to
be exempted and the reasons therefor.
(c) Any decision to exempt a system of records under this section is
subject to concurrence by the General Counsel.
(d) Any person may petition the Secretary in accordance with the
provisions of part 5 of this title, to institute a rulemaking proceeding
for the amendment or repeal of any exemptions established under this
section.
[45 FR 8993, Feb. 11, 1980, as amended at 58 FR 67697, Dec. 22, 1993]
[[Page 109]]
Sec. 10.63 Specific exemptions.
The Secretary or his or her delegee, in the case of the Office of
the Secretary, or the Administrator or his or her delegee, in the case
of an operating administration, may exempt any system of records which
is maintained by the Office of the Secretary or the administration, as
the case may be, from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H),
and (I), and (f) of the Act and implementing Secs. 10.23(c); 10.35(b);
10.41; 10.43; 10.45; 10.21(a) and 10.21(d)(6), (7) and (8) of this part,
under the following conditions;
(a) The system of records must consist of:
(1) Records subject to the provisions of section 552(b)(1) of title
5, United States Code;
(2) Investigatory material compiled for law enforcement purposes,
other than material within the scope of Sec. 10.61(a)(2): Provided,
however, That if any individual is denied any right, privilege, or
benefit to which that individual would otherwise be entitled by Federal
law, or for which that individual would otherwise be eligible, as a
result of the maintenance of such material, such material is provided to
such individual, except to the extent that the disclosure of such
material would reveal the identity of a source who furnished information
to the Government under an express promise that the identity of the
source would be held in confidence, or, prior to September 27, 1975, the
effective date of the Privacy Act of 1974, under an implied promise that
the identity of the source would be held in confidence;
(3) Records maintained in connection with providing protective
services to the President of the United States or other individuals
pursuant to section 3056 of title 18, United States Code;
(4) Records required by statute to be maintained and used solely as
statistical records;
(5) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information, but only to the extent that the disclosure of
such material would reveal the identity of a source who furnished
information to the Government under an express promise that the identity
of the source would be held in confidence, or, prior to September 27,
1975, the effective date of the Privacy Act of 1974, under an implied
promise that the identity of the source would be held in confidence;
(6) Testing or examination material used solely to determine
individual qualifications for appointment or promotion in the Federal
service the disclosure of which would compromise the objectivity or
fairness of the testing or examination process; or
(7) Evaluation material used to determine potential for promotion in
the armed services, but only to the extent that the disclosure of such
material would reveal the identity of a source who furnished information
to the Government under an express promise that the identity of the
source would be held in confidence, or, prior to the effective date of
this section, under an implied promise that the identity of the source
would be held in confidence.
(b) The requirements (including general notice) of sections 553 (b)
(1), (2) and (3), and (c) and (e) of title 5, United States Code, will
be met by publication in appendix A to this part, which must, at a
minimum, specify:
(1) The name of the systems; and
(2) The specific provisions of the Act from which the system is to
be exempted and the reasons therefor.
(c) Any decision to exempt a system of records under this section is
subject to the concurrence of the General Counsel.
(d) Any person may petition the Secretary in accordance with the
provisions of 49 CFR part 5, to institute a rulemaking for the amendment
or repeal of any exemptions established under this section.
Subpart H--Fees
Sec. 10.71 General.
This subpart prescribes fees for services performed for the public
under this part by the Department.
Sec. 10.73 Payment of fees.
The fees prescribed in this subpart may be paid by check, draft, or
postal
[[Page 110]]
money order payable to the Treasury of the United States.
Sec. 10.75 Fee schedule.
(a) Copies of documents by photocopy or similar method:
Each page not larger than 11 x 17 inches:
First page................................................. $.25
Each page.................................................. .05
(b) Copies of documents by typewriter: Each page............... 2.00
(c) Certified copies of documents:
(1) With Department of Transportation seal................... 3.00
(2) True copy, without seal.................................. 1.00
(d) Photographs:
(1) Black and white print (from negative).................... 1.25
(2) Black and white print (from print)....................... 3.15
(3) Color print (from negative).............................. 3.50
(4) Color print (from print)................................. 6.25
(e) Duplicate data tapes--each reel of tape or fraction thereof 36.00
The applicant must furnish the necessary number of blank magnetic tapes.
The tapes must be compatible for use in the supplier's computer system,
\1/2\ inch wide and 2,400 feet long, and must be capable of recording
data at a density of 556 or 800 characters per inch. Unless otherwise
designated, the tapes will be recorded at 556 CPI density. The
Department of Transportation is not responsible for damaged tape.
However, if the applicant furnishes a replacement for a damaged tape,
the duplication process is completed at no additional charge.
(f) Microreproduction fees are as follows:
(1) Microfilm copies, each 100 foot roll or less............. $3.75
(2) Microfiche copies, each standard size sheet (4'' x 6''
containing up to 65 frames)................................. .15
(3) Apertune card to hard copy, each copy.................... .50
(4) 16mm microfilm to hard copy:
First...................................................... .25
Additional................................................. .07
(g) Computerline printer output, each 1,000 lines or fraction
thereof....................................................... 1.00
Sec. 10.77 Services performed without charge.
(a) No fee is charged for time spent in searching for records or
reviewing or preparing correspondence related to records subject to this
part.
(b) No fee is charged for documents furnished in response to:
(1) A request from an employee or former employee of the Department
for copies of personnel records of the employee;
(2) A request from a Member of Congress for official use;
(3) A request from a State, territory, U.S. possession, county or
municipal government, or an agency thereof;
(4) A request from a court that will serve as a substitute for the
personal court appearance of an officer or employee of the Department;
(5) A request from a foreign government or an agency thereof, or an
international organization.
(c) Documents are furnished without charge or at a reduced charge,
if the Assistant Secretary of Administration or the Administrator
concerned, as the case may be, determines that waiver or reduction of
the fee is in the public interest, because furnishing the information
can be considered as primarily benefiting the general public.
(d) When records are maintained in computer-readable form rather
than human-readable form, one printed copy is made available which has
been translated to human-readable form without a charge for translation
but in accordance with Sec. 10.75(g), regarding computer line-printed
charges.
Subpart I--Criminal Penalties
Sec. 10.81 Improper disclosure.
Any officer or employee of the Department who by virtue of his or
her employment or official position, has possession of, or access to,
agency records which contain individually identifiable information the
disclosure of which is prohibited by this part and who knowing that
disclosure of the specific material is so prohibited, willfully
discloses the material in any manner to any person or agency not
entitled to receive it, is guilty of a misdemeanor and fined not more
than $5,000 in accordance with 5 U.S.C. 552a(i)(1).
Sec. 10.83 Improper maintenance of records.
Any officer or employee of the Department who willfully maintains a
system of records without meeting the notice requirements of
Sec. 10.21(d) of this part is guilty of a misdemeanor and fined not more
than $5,000 in accordance with 5 U.S.C. 552a(i)(2).
[[Page 111]]
Sec. 10.85 Wrongfully obtaining records.
Any person who knowingly and willfully requests or obtains any
record concerning an individual from the Department under false
pretenses is guilty of a misdemeanor and fined not more than $5,000 in
accordance with 5 U.S.C. 552a(i)(3).
Appendix A to Part 10--Exemptions
Part I. General Exemptions
Those portions of the following systems of records that consist of
(a) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, the nature and disposition of
criminal charges, sentencing, confinement, release, and parole and
probation status; (b) information compiled for the purpose of a criminal
investigation, including reports of informants and investigators, and
associated with an identifiable individual; or (c) reports identifiable
to an individual compiled at any stage of the process of enforcement of
the criminal laws from arrest or indictment through release from
supervision, are exempt from all parts of 5 U.S.C. 552a except
subsections (b) (Conditions of disclosure); (c) (1) and (2) (Accounting
of certain disclosures); (e)(4) (A) through (F) (Publication of
existence and character of system); (e)(6) (Ensure records are accurate,
relevant, timely, and complete before disclosure to person other than an
agency and other than pursuant to a Freedom of Information Act request),
(7) (Restrict recordkeeping on First Amendment rights), (9) (Rules of
conduct), (10) (Safeguards), and (11) (Routine use publication); and (i)
(Criminal penalties):
A. The Investigative Records System maintained by the Assistant
Inspector General for Investigations, Office of the Inspector General,
Office of the Secretary (DOT/OST 100).
B. Police Warrant Files and Central Files maintained by the Federal
Aviation Administration (DOT/FAA 807).
C. Law Enforcement Information System, maintained by the Office of
Law Enforcement and Defense Operations, U.S. Coast Guard (DOT/CG 613).
D. Investigations and Security Investigative Case Systems,
maintained by the Investigations and Security Division, U.S. Coast Guard
(DOT/CG 611).
E. The Investigative Records System maintained by the Federal
Aviation Administration regarding criminal investigations conducted by
offices of Investigations and Security at headquarters and FAA Regional
and Center Security Divisions (DOT/FAA 815).
F. Joint Maritime Intelligence Element (JMIE) Support System,
maintained by the Operations Systems, Center, US Coast Guard (DOT/CG
642).
These exemptions are justified for the following reasons:
1. From subsection (c)(3), because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest by not only DOT but also the
recipient agency, thereby permitting the record subject to take
appropriate measures to impede the investigation, as by destroying
evidence, intimidating potential witnesses, fleeing the area to avoid
the thrust of the investigation, etc.
2. From subsections (d), (e)(4) (G) and (H), (f), and (g), because
granting an individual access to investigative records, and granting
him/her rights to amend/contest that information, interfere with the
overall law enforcement process by revealing a pending sensitive
investigation, possibly identify a confidential source, disclose
information that would constitute an unwarranted invasion of another
individual's personal privacy, reveal a sensitive investigative
technique, or constitute a potential danger to the health or safety of
law enforcement personnel.
3. From subsection (e)(1), because it is often impossible to
determine relevancy or necessity of information in the early stages of
an investigation. The value of such information is a question of
judgement and timing: what appears relevant and necessary when collected
may ultimately be evaluated and viewed as irrelevant and unnecessary to
an investigation. In addition, DOT may obtain information concerning the
violation of laws other than those within the scope of its jurisdiction.
In the interest of effective law enforcement, DOT should retain this
information because it may aid in establishing patterns of unlawful
activity and provide leads for other law enforcement agencies. Further,
in obtaining evidence during an investigation, information may be
provided to DOT that relates to matters incidental to the main purpose
of the investigation but that may be pertinent to the investigative
jurisdiction of another agency. Such information cannot readily be
identified.
4. From subsection (e)(2), because in a law enforcement
investigation it is usually counterproductive to collect information to
the greatest extent practicable directly from the subject of the
information. It is not always feasible to rely upon the subject of an
investigation as a source for information that may implicate him/her in
illegal activities. In addition, collecting information directly from
the subject could seriously compromise an investigation by prematurely
revealing its nature and scope, or could provide the subject with an
opportunity to conceal criminal activities, or intimidate potential
sources, in order to avoid apprehension.
[[Page 112]]
5. From subsection (e)(3), because providing such notice to the
subject of an investigation, or to other individual sources, could
seriously compromise the investigation by prematurely revealing its
nature and scope, or could inhibit cooperation, permit the subject to
evade apprehension, or cause interference with undercover activities.
Part II. Specific Exemptions
A. The following systems of records are exempt from subsection
(c)(3) (Accounting of Certain Disclosures), (d) (Access to Records),
(e)(4) (G), (H), and (I) (Agency Requirements), and (f) (Agency Rules)
of 5 U.S.C. 552a, to the extent that they contain investigatory material
compiled for law enforcement purposes in accordance with 5 U.S.C.
552a(k)(2):
1. Investigative Record System (DOT/FAA 815) maintained by the
Federal Aviation Administration at the Office of Civil Aviation Security
in Washington, DC; the FAA regional Civil Aviation Security Divisions;
the Civil Aviation Security Division at the Mike Monroney Aeronautical
Center in Oklahoma City, Oklahoma; the FAA Civil Aviation Security Staff
at the FAA Technical Center in Atlantic City, New Jersey; and the
various Federal Records Centers located throughout the country.
2. FHWA Investigations Case File System, maintained by the Office of
Program Review and Investigations, Federal Highway Administration (DOT/
FHWA 214).
3. FHWA Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases, maintained by the Bureau of Motor Carrier Safety, Federal Highway
Administration (DOT/FHWA 204).
4. Recreational Boating and Law Enforcement Cases (DOT/CG 505),
maintained by the Office of Boating Safety, U.S. Coast Guard.
5. Port Safety Reporting System--Individual Violation Histories
(DOT/CG 561), maintained by the Office of Marine Environment and
Systems, U.S. Coast Guard.
6. Merchant Vessel Casualty Reporting System (DOT/CG 590),
maintained by the Office of Merchant Marine Safety, U.S. Coast Guard.
7. U.S. Merchant Seaman's Records (DOT/CG 589), maintained by the
Office of Merchant Marine Safety, U.S. Coast Guard.
8. Intelligence and Security Investigative Case Systems (DOT/CG
611), maintained by the Office of Operations, U.S. Coast Guard.
9. Port Security Case System (DOT/CG 612), maintained by the Office
of Operations, U.S. Coast Guard.
10. DOT/NHTSA Investigations of Alleged Misconduct or Conflict of
Interest, maintained by the Associate Administrator for Administration,
National Highway Traffic Safety Administration (DOT/NHTSA 458).
11. Investigations of Violations of Marine Safety Laws (DOT/CG 587),
maintained by the Office of Merchant Marine Safety, U.S. Coast Guard.
12. Civil Aviation Security System (DOT/FAA 813), maintained by the
Office of Civil Aviation Security Policy and Planning, Federal Aviation
Administration.
13. Law Enforcement Information System, maintained by the Office of
Law Enforcement and Defense Operations, U.S. Coast Guard (DOT/CG 613).
14. Joint Maritime Intelligence Element (JMIE) Support System,
maintained by the Operations Systems, Center, US Coast Guard (DOT/CG
642).
These exemptions are justified for the following reasons:
1. From subsection (c)(3), because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest by not only DOT but also the
recipient agency, thereby permitting the record subject to take
appropriate measures to impede the investigation, as by destroying
evidence, intimidating potential witnesses, fleeing the area to avoid
the thrust of the investigation, etc.
2. From subsections (d), (e)(4) (G) and (H), (f), and (g), because
granting an individual access to investigative records, and granting
him/her rights to amend/disagree with that information, interfere with
the overall law enforcement process by revealing a pending sensitive
investigation, possibly identify a confidential source, disclose
information that would constitute an unwarranted invasion of another
individual's personal privacy, reveal a sensitive investigative
technique, or constitute a potential danger to the health or safety of
law enforcement personnel.
B. The following systems of records are exempt from subsections
(c)(3) (Accounting of Certain Disclosures) and (d) (Access to Records)
of 5 U.S.C. 552a, in accordance with 5 U.S.C. 552a(k)(2):
1. General Air Transportation Records on Individuals, maintained by
various offices in the Federal Aviation Administration (DOT/FAA 847).
2. Investigative Records System, maintained by the Assistant
Inspector General for Investigations in the Office of the Inspector
General (DOT/OST 100).
These exemptions are justified for the following reasons:
1. From subsection (c)(3), because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest by not only DOT but also the
recipient agency, thereby permitting the record subject to take
appropriate measures to impede the investigation, as by destroying
evidence, intimidating potential witnesses, fleeing the area to avoid
the thrust of the investigation, etc.
[[Page 113]]
2. From subsection (d), because granting an individual access to
investigative records could interfere with the overall law enforcement
process by revealing a pending sensitive investigation, possibly
identify a confidential source, disclose information that would
constitute an unwarranted invasion of another individual's personal
privacy, reveal a sensitive investigative technique, or constitute a
potential danger to the health or safety of law enforcement personnel.
C. The system of records known as the Alaska Railroad Examination of
Operating Personnel, maintained by the Alaska Railroad, Federal Railroad
Administration (DOT/FRA 100), is exempt from the provisions of
subsection (d) of 5 U.S.C. 552a. The release of these records would
compromise their value as impartial measurement standards for
appointment and promotion within the Federal Service.
D. Those portions of the following systems of records consisting of
investigatory material compiled for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, military service, or access to classified information or
used to determine potential for promotion in the armed services, are
exempt from sections (c)(3) (Accounting of Certain Disclosures), (d)
(Access to Records), (e)(4) (G), (H), and (I) (Agency Requirements), and
(f) (Agency Rules) of 5 U.S.C. 552a to the extent that disclosure of
such material would reveal the identity of a source who provided
information to the Government under an express or, prior to September
27, 1975, an implied promise of confidentiality (5 U.S.C. 552a(k) (5)
and (7)):
1. Investigative Records System, maintained by the Assistant
Inspector General for Investigations in the Office of the Inspector
General (DOT/OST 100).
2. Intelligence and Security Investigative Case System (DOT/CG 611),
maintained by the Office of Operations, U.S. Coast Guard.
3. Officer Selection and Appointment System (DOT/CG 625), maintained
by the Office of Personnel, U.S. Coast Guard.
4. Official Officer Service Records (DOT/CG 626), maintained by the
Office of Personnel, U.S. Coast Guard.
5. Enlisted Recruiting Selection Record System maintained by the
Office of Personnel, U.S. Coast Guard.
6. Officer, Enlisted, and Recruiting Selection Test Files (DOT/CG
628), maintained by the Office of Personnel, U.S. Coast Guard.
7. Enlisted Personnel Record System, (DOT/CG 629), maintained by the
Office of Personnel, U.S. Coast Guard.
8. Coast Guard Personnel Security Program (DOT/CG 633), maintained
by the Office of Personnel, U.S. Coast Guard.
9. Official Coast Guard Reserve Service Record System (DOT/CG 676),
maintained by the Office of Reserve, U.S. Coast Guard.
10. Investigative Record System, maintained by the Federal Aviation
Administration at FAA Regional and Center Air Transportation Security
Divisions; the Investigations and Security Division, Aeronautical
Center; and Office of Investigations and Security, Headquarters,
Washington, D.C. (DOT/FAA 815).
11. Military Training and Education Records (DOT/CG 622), maintained
by the Office of Personnel, U.S. Coast Guard.
12. Files pursuant to suitability for employment with National
Highway Traffic Safety Administration (DOT/NHTSA-457) containing
confidential investigatory reports.
The purpose of these exemptions is to prevent disclosure of the
identities of sources who provide information to the government
concerning the suitability, eligibility, or qualifications of
individuals for Federal civilian employment, contracts, access to
classified information, or appointment or promotion in the armed
services, and who are expressly or, prior to September 27, 1975, implied
promised confidentiality (5 U.S.C. 552a(k) (5) and (7)).
E. Those portions of the following systems of records consisting of
testing or examination material used solely to determine individual
qualifications for appointment or promotion in the Federal Service are
exempt from subsections (c)(3) (Accounting of Certain Disclosures), (d)
(Access to Records), (e)(4) (G), (H) and (I) (Agency Requirements), and
(f) (Agency Rules) of 5 U.S.C. 552a:
1. Officer, Enlisted and Recruiting Selection Test Files (DOT/CG
628), maintained by the Office of Personnel, U.S. Coast Guard.
2. Official Coast Guard Reserve Service Record System (DOT/CG 676),
maintained by the Office of Reserve, U.S. Coast Guard.
3. Military Training and Education Records (DOT/CG 622), maintained
by the Office of Personnel, U.S. Coast Guard.
4. Reference Files (DOT/NHTSA 457), maintained by the National
Highway Traffic Safety Administration personnel offices to determine
fitness for employment prior to hiring.
The purpose of these exemptions is to preserve the value of these
records as impartial measurement standards for appointment and promotion
within the Federal service.
F. Those portions of the following systems of records which consist
of information properly classified in the interest of national defense
or foreign policy in accordance with 5 U.S.C. 552(b)(1) are exempt from
sections (c)(3) (Accounting of Certain Disclosures), (d) (Access to
Records), (e)(4) (G), (H) and (I) (Agency Requirements), and (f) (Agency
Rules) of 5 U.S.C. 552a:
1. Investigative Record System maintained by the Assistant Inspector
General for Investigations in the Office of the Inspector General (DOT/
OST 100).
[[Page 114]]
2. Personnel Security Records System, maintained by the Office of
Investigations and Security, Office of the Secretary (DOT/OST 016).
3. Civil Aviation Security System (DOT/FAA 813), maintained by the
Office of Civil Aviation Security, Federal Aviation Administration.
4. Joint Maritime Intelligence Element (JMIE) Support System,
maintained by the Operations Systems Center, US Coast Guard (DOT/CG
642).
The purpose of these exemptions is to prevent the disclosure of
material authorized to be kept secret in the interest of national
defense or foreign policy, in accordance with 5 U.S.C. 552(b)(1) and
552a(k)(1).
G. Those portions of the following systems of records which consist
of information properly classified in the interest of national defense
or foreign policy in accordance with 5 U.S.C. 552a(b)(1) are exempt from
subsections (c)(3) (Accounting of Certain Disclosures) and (d) (Access
to Records) of 5 U.S.C. 552a:
1. Investigative Record System (DOT/FAA 815) maintained by the
Federal Aviation Administration at the Office of Civil Aviation Security
in Washington, DC; the FAA regional Civil Aviation Security Divisions;
the Civil Aviation Security Division at the Mike Monroney Aeronautical
Center in Oklahoma City, Oklahoma; the FAA Civil Aviation Security Staff
at the FAA Technical Center in Atlantic City, New Jersey; and the
various Federal Records Centers located throughout the country.
The purpose of these exemptions is to prevent the disclosure of
material authorized to be kept secret in the interest of national
defense or foreign policy, in accordance with 5 U.S.C. 552(b)(1) and
552a(k)(1).
[45 FR 8993, Feb. 11, 1980, as amended at 58 FR 67697, Dec. 22, 1993; 59
FR 13662, Mar. 23, 1994; 60 FR 43983, Aug. 24, 1995]
Appendix B to Part 10--Office of the Secretary
1. Introduction. This appendix, with respect to the Office of the
Secretary:
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained in the Office of the
Secretary;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction
of a record; and
e. Describes identification requirements which may be in addition to
those delineated in Sec. 10.35 of these regulations.
An individual requiring assistance, concerning this appendix or
systems maintained in the Office of the Secretary, may contact the
Privacy Act Officer, or Privacy Act Coordinator, Office of the Assistant
Secretary for Administration, M-20, 400 Seventh Street, SW., Washington,
DC 20590.
2. Availability for Inspection and Copying.
a. Records in systems maintained in the Office of the Secretary
(OST) are available at 400 Seventh Street SW., Washington, DC, except
where otherwise noted:
(1) Records are maintained at 2100 Second Street SW., Washington,
DC, for the following systems:
(a) DOT/OST 011 Discrimination Complaint Investigative Files;
(b) DOT/OST 042 Technical Pipeline Safety Standards Committee.
(2) DOT/OST 013 Employee Management Files: Records for the employees
at each location are located as delineated in the system notice.
(3) DOT/OST 015 Funds Management Records: Central records are
maintained at 400 Seventh Street SW., Washington, DC. Records for the
applicable region are maintained in the office of each of the eleven
Regional Emergency Transportation Coordinators, as delineated in the
system notice.
(4) DOT/OST 022 National Defense Executive Reserve File: Complete
records are maintained at 400 Seventh Street SW., Washington, DC.
Applicable records are maintained in a wide variety of field offices as
delineated in the system notice.
(5) DOT/OST 028 Personnel Convenience Files: Employee records
applicable to the Complaints Division of the Office of Civil Rights of
the Office of the Secretary are located at 2100 Second Street SW.,
Washington, DC. All other records are located at 400 Seventh Street SW.,
Washington, DC.
(6) DOT/OST 043 Telephone Directory and Locator System: Records are
stored on magnetic tape at 13 Massachusetts Avenue NW., Washington, DC.
However, access is controlled by the System Manager: Chief, Accounting
Operations Center, Room 2228, 400 Seventh Street SW., Washington, DC.
(7) DOT/OST 048 Transportation Research Activities Information
System: Records are stored on magnetic tape at the Transportation
Systems Center, Cambridge, Massachusetts. Individuals desiring access to
their own personal data should contact the System Manager: Chief,
Resources Management Division, DPA-20, Department of Transportation, 400
Seventh Street SW., Washington, DC.
(8) DOT/OST 049 Transportation Research Information System: Records
are maintained on magnetic tape at the Battelle Laboratories, Columbus,
Ohio. Individuals desiring access to their own personal data should
contact the System Manager: Chief, Resources Management Division, DPA-
20, Department of Transportation, 400 Seventh Street SW., Washington,
DC.
[[Page 115]]
(9) DOT/OST 050 Executive Team Cadre Listings: Records are
maintained at 400 Seventh Street SW., Washington, DC, and at the offices
of the Regional Emergency Transportation Coordinators, as delineated in
the system notice.
(10) Records are maintained at the Transportation Systems Center,
Kendall Square, Cambridge, Massachusetts, for the following systems:
(a) DOT/TSC 700 Automated Management Information Systems;
(b) DOT/TSC 701 Employee Travel Records;
(c) DOT/TSC 702 Legal Counsel Information Files;
(d) DOT/TSC 703 Occupational Safety and Health Reporting System;
(e) DOT/TSC 704 Stand-by Personnel Information;
(f) DOT/TSC 706 Automated Planning System;
(g) DOT/TSC 707 Automated Manpower Distribution System;
(h) DOT/TSC 708 Combined Federal Campaign Information;
(i) DOT/TSC 709 Minority Information Files;
(j) DOT/TSC 711 Blood Donor Information File;
(k) DOT/TSC 712 Automated Payroll/Personnel/Communications/Security
System;
(l) DOT/TSC 713 Employee Payroll-Manpower Distribution System;
(m) DOT/TSC 714 Health Unit Employee Medical Records;
(n) DOT/TSC 715 Bi-Weekly Personnel Status Report.
b. Records are available for inspection and copying at the
applicable locations delineated above between the hours of 9 a.m. and
5:30 p.m., except Saturdays, Sundays, and holidays. Access to certain
records may be restricted in accordance with exemptions applied and
noticed in accordance with sections 3 (j) and (k) of the Privacy Act of
1974. Individuals desiring access to their own records should follow the
instructions contained in the system notice published for each system of
records. Requests for access shall be submitted to the System Manager
having responsibility for the system in which the records are
maintained, unless the system notice describing the system prescribes or
permits submission to some other official or officials.
3. Systems of Records. A compilation of notices describing the
systems of records maintained in the Department of Transportation is
published annually in the Federal Register. The notices describing the
systems maintained in the Office of the Secretary are published in a
block within the overall compilation and each is identified by a three-
digit number preceded by the acronym, OST; e.g., OST 013 (except those
maintained at the Transportation Systems Center which uses the acronym,
TSC; e.g., TSC 701). The basic compilation of system notices, for
systems subject to the Privacy Act of 1974, which are maintained in the
Office of the Secretary, is published in the Federal Register annually.
4. Access to Records. Requests for access to records are processed
in accordance with the rules provided in subpart D of these regulations.
a. A request from an individual for access to a record pertaining to
such individual is granted promptly unless:
(1) The record was compiled in reasonable anticipation of a civil
action or proceeding; or
(2) The system of records is one which has been exempted from the
notification and access provisions of the Privacy Act by rulemaking; or
(3) The record is not part of a system of records required to be
noticed in accordance with the provisions of the Privacy Act and is not
otherwise required to be made available by a law or regulation; or
(4) The System Manager or other cognizant official determines that
the particular circumstances justify denial of access; or
(5) The information requested is contained in and is inseparable
from another individual's record.
b. When information sought from a system of records in the Office of
the Secretary includes information that has been furnished by an
operating element of the Department or by another agency, as the case
may be, the Systems Manager or other cognizant official consults the
operating element or the other agency, as the case may be, before
granting access. If referral of the request to the operating element or
the other agency, as the case may be, will provide a more expeditious
decision with resulting probable access, the request may be referred to
the operating element or the other agency, as the case may be, but the
requester is notified of the referral.
c. When a Systems Manager or other cognizant official in the Office
of the Secretary determines that a request for access should be denied,
the request and the reason(s) for the determination are referred to the
Assistant Secretary for Administration for decision. In the event of a
decision to deny access, the Office of the Assistant Secretary for
Administration notifies the requester in writing in accordance with
Sec. 10.51 of these regulations.
5. Requests To Correct or Alter Records. An individual may request
that a record pertaining to such individual be amended to correct any
portion thereof which such individual believes is not accurate,
relevant, timely, or complete.
a. A request to amend a record must:
(1) Be in writing and signed by the individual to whom the record
pertains;
[[Page 116]]
(2) Be clearly marked ``Request for Amendment of Record'';
(3) Contain a statement that the request is being made under the
provisions of the Privacy Act of 1974;
(4) Contain the name and address of the individual making the
request;
(5) Specify the name and location of the systems of records, as set
forth in the system notice, in which the record is maintained;
(6) Specify the title and business address of the official
designated in the ``Contesting Record Procedures'' paragraph of the
applicable system notice;
(7) Specify the particular record in the system which the individual
is seeking to amend;
(8) Clearly state the specific changes which the individual wishes
to make in the record and a concise explanation of the reason for the
changes. If the individual wishes to correct or add any information, the
request shall contain specific language making the desired correction or
addition; and
(9) Be addressed to or delivered in person to the office of the
official designated in the ``Contesting Records Procedures'' paragraph
of the applicable system notice. A request delivered to an office in
person must be delivered during the regular office hours of that office.
6. Personal Identification Requirements. Generally, the
identification rules in paragraph 10.35 of these regulations apply to
systems maintained in the Office of the Secretary. In addition, specific
requirements for some systems are delineated below:
a. The notarized signature of the requester is required for requests
by mail for notification and access to records in the following systems:
(1) OST 001 General Employee Records System;
(2) OST 030 Personal Management Convenience Files.
(Note: An individual's social security number is an optional means
of identification, which may be supplied in lieu of notarization. Social
security numbers are used on these records as authorized under the
provisions of Executive Order 9397, dated November 22, 1943.)
b. The notarized signature of the requester is required for requests
by mail for notification and access to records in the following systems:
(1) OST 006 Confidential Statement of Employment and Financial
Interests; and
(2) OST 037 Records of Confirmation Proceeding Requirements.
c. The number of the Federal Emergency Assignee Identification Card
(SF 138) issued to the requester is required for requests by mail for
notification and access to records in the following systems:
(1) OST 022 National Defense Executive Reserve File;
(2) OST 036 Planning Officials for Emergency Functions and;
(3) OST 050 Executive Team Cadre Listings.
d. The name of the applicable advisory committee is required for
notification and access to records in the following system: OST 008
Departmental Advisory Committee Files.
Appendix C to Part 10--U.S. Coast Guard
1. Introduction. This appendix supplements the procedures set forth
for the Department of Transportation in subparts A through I of 49 CFR
part 10.
2. Availability for Inspection and Copying.
a. Individuals who wish the Coast Guard to examine a system of
records covered by this part to determine whether any records in the
system contain information about them or who wish to gain access to or
receive copies of records which contain information about them, should
address written requests either to the appropriate system manager as
listed in the annual description of Coast Guard record systems appearing
in the Federal Register or to: Commandant (G-CMA), U.S. Coast Guard
Headquarters, 400 Seventh Street SW., Washington, DC 20590. Requests may
also be delivered in person to the above address between 7:30 a.m. and 4
p.m. (Monday through Friday, excluding holidays).
b. The Coast Guard acknowledges requests for notification of the
existence of a record within ten working days (excluding Saturdays,
Sundays and holidays) after receipt of a completed request. The Coast
Guard makes every effort within 30 days of the receipt of a request for
access to a record to:
(1) Make the record available;
(2) Notify the requester of the need for additional information; or
(3) Notify the requester of any denial, either in whole or in part,
of access to a record. Para. 3 of this appendix sets forth the addresses
of Coast Guard district offices and headquarters units where records in
decentralized systems may be located.
3. Systems of Records. The annual notice of systems of records
required by 5 U.S.C. 552a(e)(4) with respect to records maintained by
the Coast Guard is set forth in the Federal Register. Assistance may be
requested in exercising his or her rights by an individual addressing
the Privacy Act Coordinator at one of the following U.S. Coast Guard
offices nearest his residence:
a. Commander, 1st Coast Guard District, 150 Causeway Street, Boston,
MA 02114.
b. Commander, 2nd Coast Guard District, Federal Building, 1520
Market Street, St. Louis, MO 63013.
c. Commander, 3rd Coast Guard District, Governors Island, New York,
NY 10004.
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d. Commander, 5th Coast Guard District, Federal Building, 431
Crawford Street, Portsmouth, VA 23705.
e. Commander, 7th Coast Guard District, Federal Building, 51 S.W.
1st Avenue, Miami, FL 33130.
f. Commander, 8th Coast Guard District, Customhouse, New Orleans, LA
70130.
g. Commander, 9th Coast Guard District, 1240 East 9th Street,
Cleveland, OH 44199.
h. Commander, 11th Coast Guard District, Heartwell Building, 19 Pine
Avenue, Long Beach, CA 90802.
i. Commander, 12th Coast Guard District, 630 Sansome Street, San
Francisco, CA 94126.
j. Commander, 13th Coast Guard District, Federal Building, 915
Second Avenue, Seattle, WA 98174.
k. Commander, 14th Coast Guard District, P.O. Box 48, FPO San
Francisco 96610.
l. Commander, 17th Coast Guard District, FPO Seattle 98771.
m. Superintendent, U.S. Coast Guard Academy, New London, CT 06320.
n. Commanding Officer, U.S. Coast Guard Yard, Curtis Bay, Baltimore,
MD 21225.
o. Commanding Officer, U.S. Coast Guard Training Center, Governors
Island, New York, NY 10004.
p. Commanding Officer, U.S. Coast Guard Training Center, Cape May,
NJ 08204.
q. Commanding Officer, U.S. Coast Guard Training Center, Government
Island, Alameda, CA 94501.
r. Commanding Officer, U.S. Coast Guard Supply Center, 830 3rd
Avenue, Brooklyn, NY 11232.
s. Commanding Officer, U.S. Coast Guard Institute, P.O. Substation
18, Oklahoma City, OK 73169.
t. Commanding Officer, U.S. Coast Guard Aircraft Repair & Supply
Center, Elizabeth City, NC 27909.
u. Commanding Officer, U.S. Coast Guard Aviation Training Center,
Mobile, AL 36608.
v. Commanding Officer, U.S. Coast Guard Radio Station (NMH), 7223
Telegraph Road, Alexandria, VA 22310.
w. Commanding Officer, U.S. Coast Guard Reserve Training Center,
Yorktown, VA 23490.
x. Officer in Charge, Record Depot, U.S. Coast Guard Air Station,
Elizabeth City, NC 27909.
y. Commander, Coast Guard Activities, Europe, London, Box 50, FPO
New York 09510.
z. Commanding Officer, U.S. Coast Guard Training Center, Petaluma,
CA 94952.
aa. Commander, U.S. Coast Guard Air Base, Elizabeth City, NC 27909.
bb. Commanding Officer, U.S. Coast Guard Electronics, Engineering
Center, Wildwood, NJ 08260.
cc. Commanding Officer, Research & Development Center, Avery Point,
Groton, CT 06340.
dd. Commanding Officer, U.S. Coast Guard Oceanographic Unit,
Building 159E, Navy Yard Annex, Washington, DC 20590.
4. Access to Records.
a. The Coast Guard honors only those requests for notification,
access, or amendment made by:
(1) The individual to whom the record pertains;
(2) The parent or guardian of a minor to whom the record pertains;
(3) The legal guardian of a person to whom the record pertains when
that person has been declared incompetent by reason of physical or
mental disability by a court having jurisdiction of the matter; or
If made by a person other than the individual to whom the record
pertains, the request must specify the relationship of the requester to
that individual.
b. Written requests for information or amendment must be signed by
the requester. Requests for access to records containing sensitive or
detailed personnel information (including, but not limited to, earnings
and tax statements, employee payroll records, employee grievance and
appeal files, civilian, officer, and enlisted personnel files, and
health and medical records (subject to the conditions of 49 CFR 10.33
(b)) may be required to contain the following notarized certification:
I, ----------, do hereby certify that I am the individual to whom
the record in question pertains.
(or)
I am the parent or guardian of the minor to whom the record in
question pertains.
(or)
I am the legal guardian of the individual determined by a court to
be incompetent to whom the record in question pertains.
--______________________________________________________________________
(Notarization)
(Signature)_____________________________________________________________
(Date)__________________________________________________________________
5. Requests to Correct or Alter Records. The official responsible
for administering a system of records, in consultation as appropriate
with the System Manager, Privacy Act Coordinator, and Privacy Act
Officer, initially determines whether to grant requests under 49 CFR
10.41 to amend records. Requests must be made as provided in paragraph
2a. of this appendix. Requests for amendment must contain a complete
description of the item sought to be changed and documentation to
substantiate the grounds for the requested change. The Coast Guard
acknowledges the receipt of completed requests for amendment within ten
working days. As promptly as possible the Coast Guard advises the
requester whether or not the change has been made, and in
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cases where a change has been made, transmits a copy of the amended
record to the requester.
a. When a request for access to a record or amendment of a record is
denied, in whole or in part, the manager of the system of records
involved notifies the requester in writing, of the reasons for the
denial and furnishes the requester a statement of the name and position
or title of each person responsible for the denial. The requester also
is advised of the right to file a written appeal of the adverse decision
within 180 days of receipt of the initial denial. Appeals must be
addressed to: Commandant (G-CMA), U.S. Coast Guard Headquarters, 400
Seventh Street, SW., Washington, DC 20590.
b. Within 30 working days of the receipt of a written appeal, the
Commandant or his designee makes an independent review of the record and
decides whether or not to make the requested disclosure or amendment. If
the appeal is granted, the Coast Guard promptly notifies the requester
of the decision in writing and transmits to the requester a copy of the
record or amended record. If the appeal is denied, the Coast Guard
promptly notifies the requester, in writing, of the reasons for the
denial and furnishes the requester a statement of the name and position
or title of each person responsible for the denial. The Coast Guard also
informs the requester of the right to seek judicial review of the
adverse decision pursuant to 5 U.S.C. 552a(g)(1).
c. In addition to appealing an adverse determination of a request to
amend a record, the requester may file a concise ``statement of
disagreement'' setting forth the reasons for disagreeing with the
refusal of the Coast Guard to amend the record. The notification by the
Coast Guard of the denial of an initial request for amendment or the
denial of an administrative appeal for an amendment informs the
requester of the right to file a statement of disagreement.
d. The Commandant of the Coast Guard, by Commandant Instruction
5212.11 (26 September 1975), has redelegated to the Chief of Staff the
authority under 49 CFR part 10 to:
(1) Exempt systems of records from certain provisions of the Privacy
Act;
(2) Make final administrative determinations not to disclose or
amend a record; and
(3) Issue extensions of review time.
This authority may not be redelegated further.
6. Personal Identification Requirements.
a. When an individual requests notification, access, or amendment in
person, he or she must show identification such as a driver's license,
military or employment identification card, credit card, or medicare
card. An individual requesting in person information about or amendment
to a ``sensitive'' record may be required to complete the notarized
certification set forth in paragraph 4.b of this appendix.
b. The Coast Guard may require more specific information in order to
establish the identify of a requester. For example, the Coast Guard may
require that a legal guardian or personal representative produce
certified copies of court documents appointing him to his position. The
Coast Guard may independently verify the identity of a requester by
telephone contact with the requester, personal identification by Coast
Guard employees who may know the requester, or any other lawful means
considered appropriate under the circumstances.
c. An individual may be accompanied by a person of the individual's
choosing while reviewing records to which he or she has been granted
access, provided that the individual signs a statement authorizing the
accompanying person to do so. An individual granted access to a record
may be required to sign and notarize a statement authorizing the Coast
Guard to release the record to a person (e.g., his attorney) designated
by the individual.
d. No request for information or amendment is considered complete
until all necessary identification material has been provided. No copies
of records are provided to individuals until they pay appropriate fees
as set forth in 49 CFR subpart H.
Appendix D to Part 10--Federal Aviation Administration
1. Introduction. This appendix:
a. Describes the procedures for determining if an individual is the
subject of a record maintained by the Federal Aviation Administration;
b. Describes the availability of records and prescribes requirements
for identifying an individual who requests a record pertaining to him or
her;
c. Prescribes procedures for granting access to an individual upon
that individual's request for the record pertaining to him or her;
d. Prescribes procedures for reviewing a request from an individual
concerning the amendment of any record pertaining to him or her;
e. Prescribes procedures for making a determination on the request
of an individual for amendment of any record pertaining to him or her;
and
f. Prescribes procedures for an appeal within the FAA of a
determination not to grant access to or amendment of records.
2. Availability for Inspection and Copying. Records may be inspected
at the FAA facility identified for the particular system of records
appearing in the systems notices published in the Federal Register.
These
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facilities are open to the public during regular business hours, except
Saturdays, Sundays, and Federal holidays.
3. Systems of Records.
a. A list of FAA systems of records pertaining to the Privacy Act
indicating the geographic locations and the responsible systems managers
has been published in the Federal Register and appears as follows:
(1) September 19, 1977, on pages 47069-47088,
(2) August 28, 1978, on page 38511, and
(3) May 15, 1979, on pages 28439-28447.
b. Any individual who is unable to determine in which FAA-maintained
system the records pertaining to him or her may be found may submit a
written request for assistance to the attention of the Privacy Act
Coordinator located at the region or center nearest to his residence.
The addresses for the regional and center facilities of the FAA are
listed below:
(1) FAA Headquarters, 800 Independence Avenue SW., Washington, DC
20591;
(2) Alaskan Region, 632 Sixth Avenue, Anchorage, Alaska 99501;
(3) Central Region, 601 East 12th Street, Kansas City, MO 64106;
(4) Southern Region, 3400 Norman Berry Drive, East Point, Georgia
30344 (Mail Address: P.O. Box 20636, Atlanta, Georgia 30320);
(5) Southwest Region, 4400 Blue Mound Road, Fort Worth, Texas 76193-
0000;
(6) Western-Pacific Region, 15000 Aviation Boulevard, Hawthorne,
California (Mail Address: P.O. Box 92007, World Postal Center, Los
Angeles, California 90009);
(7) Eastern Region, JFK International Airport, Fitzgerald Federal
Building, Jamaica, New York 11430;
(8) Mike Monroney Aeronautical Center, 6500 South MacArthur (Mail
Address: P.O. Box 25082), Oklahoma City, Oklahoma 73125;
(9) Technical Center, Atlantic City International Airport, New
Jersey 08405;
(10) New England Region, 12 New England Executive Park, Burlington,
Massachusetts 01803;
(11) Great Lakes Region, O'Hare Lake Office Center, 2300 East Devon
Avenue, Des Plaines, Illinois 60018; and
(12) Northwest Mountain Region, 1601 Lind Avenue, SW, Renton,
Washington 98055-4056.
4. Access to Records.
a. Any individual desiring to inspect a record or obtain a copy of a
record pertaining to him or her must present a written request in
accordance with the provisions of this section. An individual making a
request under this section may either appear in person or submit a
request by mail to the address and attention of the system manager as it
appears in the list of systems of records published in the Federal
Register. The individual must first determine in which system of records
he or she believes the particular records pertaining to him or her are
maintained by examining the categories of records and routine uses in
the list of the systems of records published in the Federal Register and
available at the addresses set forth in paragraph 3.b of this appendix.
b. The individual must include in the request the information
necessary to identify the specific system of records as it appears in
the list of the systems of records of the FAA published in the Federal
Register.
c. Upon request by any individual to gain access to an FAA record
that contains information pertaining to him or her, the FAA official
responsible for the record informs the individual whether the requested
record is exempt under subpart G of this part.
d. An individual making a request under this section is permitted to
inspect and have a copy made of any record pertaining to him or her in a
form comprehensible to him or her, if:
(1) He or she has given identification in accordance with section 6
of this appendix;
(2) The record is not exempt under subpart G of this part; and
(3) The record was not compiled in reasonable anticipation of a
civil action or proceeding. For medical records see Sec. 10.35(d).
e. Notwithstanding paragraph d of this section, if an individual
requesting a record pertaining to him or her is accompanied by a person
of his or her own choosing to review the record, the individual making
the request must submit a signed statement authorizing the discussion of
the record in the presence of the accompanying person.
f. Each request for a record determined to be releasable under
paragraph d of this section is complied with within ten days, excluding
Saturdays, Sundays, and Federal holidays. If additional time is
necessary to make the requested record comprehensible to the individual
requesting it, the FAA official responsible for the record notifies the
individual within ten days of the request of the estimated time required
to fill the request.
g. Any individual whose request for access to a record pertaining to
him or her is denied may file a written appeal to the Administrator,
Federal Aviation Administration, 800 Independence Avenue SW.,
Washington, DC 20591. Appeals submitted under this section must comply
with the requirements of Sec. 10.51 of this part.
5. Requests to Correct or Alter Records.
a. Any individual may request an amendment of any record pertaining
to him or her maintained by the FAA in a system of records, by
submitting the request in writing to the attention of the FAA official
responsible for the record at the address appearing in the list of
systems of records published in the Federal Register.
b. Each request for an amendment of a record must be accompanied by
a written explanation as to why the individual believes the present
record is not accurate, timely,
[[Page 120]]
relevant, or complete. The individul making the request may submit any
documentation he or she wishes in support of his request.
c. Upon receipt of a request for an amendment of a record, the FAA
official responsible for the record reviews the record and supporting
documentation and determines if there is a sufficient basis upon which
to make a decision to make the requested amendment. In any case, the
request must be acknowledged within 10 days.
d. If the FAA official responsible for the record determines under
paragraph c of this section that additional information is necessary
before a decision can be made as to whether to make the requested
amendment, the official notifies the individual making the request to
amend specifying what additional information is necessary.
e. If the FAA official responsible for the record determines that
the requested amendment should be made, the official amends the record,
notifies the individual making the request, and sends to that individual
a copy of the corrected record, as well as to other persons or agencies
to whom the record may have been disclosed (See 49 CFR 10.23(d)).
f. If the FAA official responsible for the record determines that
the requested amendment should be denied, the official forwards to his
supervisor the request for amendment with all supporting documentation
and reasons for the denial.
g. If the supervisor determines that the requested amendment should
be made, the supervisor follows the procedures in paragraph e of this
section.
h. If the supervisor determines that the requested amendment should
be denied, the supervisor notifies the individual making the request of
the denial, the reasons therefor, and informs the individual of the FAA
procedures for appealing the denial.
i. Any individual whose request for correction or alteration of a
record pertaining to him or her is denied may file a written appeal to
the Administrator, Federal Aviation Administration, 800 Independence
Avenue SW., Washington, DC 20591. Appeals submitted under this section
must comply with the requirements of Sec. 10.51 of this part.
6. Personal Identification Requirements.
a. Each individual making a request under this appendix for a record
pertaining to him or her must present appropriate identification before
the requested record is released. Types of appropriate identification
include:
(1) For requests made in person, a driver's license or employee
identification card; and
(2) For requests made by mail, name (printed or typed, and
signature) and date of birth, or the unique identifier used in the
system of records.
b. If an individual cannot provide appropriate identification as
required in paragraph 6.a of this appendix, or if the record requested
is particularly sensitive, the FAA official responsible for the record
may require the individual to sign a statement certifying his or her
identity and understanding that knowingly and willfully to request or
obtain any record concerning an individual from the FAA under false
pretenses is a misdemeanor punishable by a fine of up to $5,000 as
provided in 5 U.S.C. 552a(i)(3).
[45 FR 8993, Feb. 11, 1980, as amended at 58 FR 67697, Dec. 22, 1993]
Appendix E to Part 10--Federal Highway Administration
1. Introduction. This appendix, with respect to the Federal Highway
Administration (FHWA);
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained in the FHWA;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction
of a record; and
e. Describes identification requirements which may be in addition to
those delineated in paragraph 10.35 of these regulations.
2. Availability for Inspection and Copy. Places and times at which
records are available for inspection and copying, and the system of
records and systems managers having authority at each place.
a. Headquarters: The Federal Highway Administration, 400 7th Street
SW., Washington, DC 20590. Time: 7:45 a.m.--4:15 p.m.
Systems of Records and Responsible Systems Managers:
1. Accounts Receivable DOT/FHWA-Chief General Ledger and Funds
Control Section.
2. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Occupational Safety Engineer.
3. Driver Waiver File (BMCS) DOT/FHWA--Chief, Driver Requirements
Branch.
4. Employee Utilization Monthly Report DOT/FHWA--Chief, Data Systems
Division.
5. Investigation Case File DOT/FHWA--Chief, Investigations and
Special Inquiry Division.
6. Medal of Honor File DOT/FHWA--Chief, Compliance Division.
7. Memorandum of Monthly Performance of Key Punch Operators DOT/
FHWA--Chief, TCC Operation (Groups A and B).
8. Motor Carrier Accident File (BMCS) Property and Passenger--Chief,
Accident Analysis Branch.
9. Occupational Safety and Health Accident Reporting System DOT/
FHWA--Occupational Safety Engineer.
10. Payroll Administration DOT/FHWA--Chief, Payroll and Employee
Records Section.
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11. Personnel Records--(CSC Governmentwide) DOT/FHWA--Chief,
Personnel Programs Division.
12. Travel Advance File DOT/FHWA--Chief, Voucher Review and
Disbursement Section.
13. Travel Order (Change of Duty Station) DOT/FHWA--Chief, Voucher
Review and Disbursement Section.
14. University and Industry Programs Coding and Filing Systems DOT/
FHWA--Administrative Assistant--National Highway Institute.
15. Panel for Santa Monica Demonstration Project DOT/FHWA--Chief,
Urban Planning Division.
b. Regional Offices: Region 1--Federal Highway Administration, Leo
W. O'Brien Federal Building, Albany, New York 12207. Time: 8:00 a.m.-
4:30 p.m.
Systems of Records and Responsible System Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License)-- DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases DOT/FHWA--Regional Counsel.
3. Travel Advance File-- DOT/FHWA Executive Officer, Region 3--
Federal Highway Administration, George H. Fallon Federal Office
Building, 31 Hopkins Plaza, Baltimore, Maryland 21201. Time: 8:00 a.m.-
4:30 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases-- DOT/FHWA--Regional Counsel.
3. Travel Advance File--DOT/FHWA--Executive Officer, Region 4--
Federal Highway Administration, 1720 Peachtree Road, NW., Atlanta,
Georgia 30309. Time: 7:45 a.m.-4:15 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Travel Advance File--DOT/FHWA Executive Officer, Region 5--
Federal Highway Administration, 18209 Dixie Highway, Homewood, Illinois
60430. Time: 7:30 a.m.-4:00 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Travel Advance File--DOT/FHWA--Executive Officer, Region 6--
Federal Highway Administration, 819 Taylor Street, Fort Worth, Texas
76102. Time: 8:00 a.m.-4:30 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Travel Advance File--DOT/FHWA--Executive Officer, Region 7--
Federal Highway Administration, 6301 Rockhill Road, Kansas City,
Missouri 64131. Time: 7:45 a.m.-4:15 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Travel Advance File--DOT/FHWA--Executive Officer, Region 8--
Federal Highway Administration, P.O. Box 25246, Denver Federal Building
Center, Denver, Colorado 80225. Time: 7:45 a.m.-4:15 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Payroll Administration DOT/FHWA--Appropriate Finance Officer.
4. Travel Advance File--DOT/FHWA--Executive Officer, Region 9--
Federal Highway Administration, 2 Embarcadero Center, P.O. Box 7616, San
Francisco, California 94120. Time: 7:45 a.m.-4:15 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License)--DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Travel Advance File DOT/FHWA--Executive Officer, Region 10--
Federal Highway Administration, 222 SW. Morrison Street, Portland,
Oregon 97204. Time: 8:00 a.m.-4:45 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S.
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Government Drivers License)--DOT/FHWA--Executive Officer.
2. Travel Advance File--DOT/FHWA--Executive Officer, Region 15--
Federal Highway Administration, 1000 North Glebe Road, Arlington,
Virginia 22201. Time: 7:45 a.m.-4:15 p.m.
Systems of Records and Responsible Systems Managers:
Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
c. Division Offices (For location and hours of duty see 49 CFR part
7).
Systems of Records and Responsible Systems Managers:
Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Administrative Managers.
3. Access to Records:
a. Each individual desiring to determine whether a record pertaining
to him or her is contained in a system of records, or desiring access to
such record, or to obtain a copy of such record, shall make request to
the appropriate System Manager. In appropriate circumstances, oral
requests are acted upon. Each request must specify the name of the
requesting individual and the system of records in which the subject
record is located or thought to be located.
4. Requests to Correct or Alter Records:
a. The FHWA allows individuals to request amendment of their
personal records to the extent that such amendment does not violate
existing statutes, regulations, or administrative procedures. Requests
to amend personnel records of active employees should be addressed to
the responsible system managers specified in paragraph 2 above.
b. The System Managers provide written acknowledgment of the receipt
of a request to amend a record to the individual within 10 days.
However, if the request can be reviewed, processed and the individual
notified of compliance or denial within the 10-day working period, no
acknowledgment is required.
c. If the System Manager agrees with an individual's request to
amend the person's record, the following steps are taken:
1. Correct the record accordingly,
2. Advise the individual in writing, and
3. If an accounting of disclosure has been made, advise all previous
recipients of the record of the fact that the correction was made and
the substance of the correction.
d. If the System Manager disagrees with all or any portion of the
request to amend a record, he or she:
1. Proceeds as described above with respect to those portions of the
record which will be amended.
2. Advises the individual of the refusal and the reason for not
amending a record, indicating the name and title or position of each
person responsible for the denial, and
3. Informs the individual of the right to appeal the decision not to
amend a record to: Associate Administrator for Administration, Federal
Highway Administration, Washington, DC 20590.
e. If after this review the FHWA refuses to amend the record on the
individual requested, the FHWA advises the individual:
1. Of the refusal and the reason for it,
2. Of the individual's right to file a concise statement of the
reasons for disagreeing with the decision of the FHWA,
3. The procedures for filing the statement of disagreement,
4. That the statement which is filed will be made available to
anyone to whom the record is subsequently disclosed, and
5. Of the individual's right to seek judicial review of the FHWA's
refusal to amend a record.
f. The final FHWA determination on the individual's request is
concluded within 30 days of the receipt of the appeal unless for good
cause shown, the Associate Administrator for Administration extends such
period. Such final administrative decision addresses all information and
arguments relied upon by the individual.
g. Each application for review by FHWA must indicate that it is an
appeal from a denial of a request made under the Privacy Act. The
envelope in which the application is sent should be marked prominently
with the words ``Privacy Act''.
If these requirements are not met, the time limits described in
Sec. 10.43 do not begin until the application has been identified by an
employee of the FHWA as an application under the Privacy Act and has
been received by the appropriate office.
h. The Associate Administrator for Administration may require the
person making a request to furnish additional information, or proof of
factual allegations, and may order other appropriate proceedings. His or
her decision as to the availability of a record or whether to amend a
record is administratively final subject to the concurrence of the DOT
General Counsel or his or her delegate. However, requests for review of
denials of information contained in Government-wide systems of personnel
records, which includes the FHWA Personnel Records System, are handled
by the Civil Service Commission in accordance with 5 CFR 294.108 and 5
CFR 297.108.
i. If the Associate Administrator for Administration also refuses to
grant access or to correct the individual's record, he or she advises
the individual of:
1. The reason(s) for the refusal and the names, and titles or
positions of each person responsible for the denial;
2. The individual's right to file a statement of disagreement; that
the statement will be
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made available to anyone to whom the record is subsequently disclosed,
and to prior recipients of the record (see Sec. 10.23(d)), and
3. The right to bring suit in the District Court of the United
States in the district in which the individual resides, the district in
which his principal place of business is located, the district in which
the record(s) is located, or the District of Columbia.
5. Personal Identification Requirements:
a. When a record is applied for in person, the person so applying
must, unless personally known to the custodian of the records, furnish
adequate identification. Such identification may consist of an employee
identification card, Medicare Card, driver's license, or a similar
document.
b. When a record is applied for by mail, sufficient information to
identify the individual must be furnished, and a notarized statement as
to the identity of the requester may be required in some instances when
the record involved contains particularly sensitive information in the
judgment of the systems manager.
Appendix F to Part 10--Federal Railroad Administration
1. Introduction. This appendix, with respect to the Federal Railroad
Administration (FRA):
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained in the Federal
Railroad Administration;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction
of a record; and
e. Describes identification requirements which may be in addition to
those delineated in Sec. 10.35 of these regulations.
2. Availability for Inspection and Copying. Places and times at
which records are available for inspection and copying and the systems
of records and systems managers having authority to deny requests for
disclosure at each facility.
a. Records in systems maintained in the Federal Railroad
Administration are available at the Alaska Railroad, Anchorage, Alaska
99510, 9:00 a.m.-4:00 p.m.
Systems of Records and Responsible Systems Managers:
1. Alaska Railroad Examination of Operating Personnel; DOT/FRA
Operations Officer (System Manager).
2. Alaska Railroad Personnel and Pay Management Information System;
DOT/FRA--General Manager (System Manager).
3. Alaska Railroad Security and Freight Claims Investigatory Files;
DOT/FRA--Chief, Security and Claims Office (Systems Manager).
b. Places: The Alaska Railroad, Anchorage, Alaska 99510. Hours: 9:00
a.m.-4:00 p.m.
Systems of Records and Responsible Systems Managers:
1. Application for (Vehicle) Operator's Identification Card; DOT/
FRA--Director, Office of Administrative Operations (System Manager).
2. Confidential Statement of Employment and Financial Interest; DOT/
FRA--Chief Counsel, Office of the Chief Counsel (System Manager).
3. Employee Travel Records; DOT/FRA--Accounting Officer, Accounting
Division (System Manager).
4. Occupational Safety and Health Reporting System; DOT/FRA--FRA
Safety Manager, Office of Administrative Operations (System Manager).
5. Office of Safety Past Employees Files; DOT/FRA--Deputy Associate
Administrator for Safety (System Manager).
6. Personnel and Pay Management Information Systems; DOT/FRA--
Director, Office of Personnel and Training (System Manager).
7. Travel Advance Records; DOT/FRA--Director, Office of
Administrative Operations (System Manager).
8. Work Measurement System; DOT/FRA--Director, Office of Management
Systems.
c. Places: Regional Offices as follows:
Region 2, Federal Railroad Administration, Philadelphia, Pa. 19106.
Region 3, Federal Railroad Administration, College Park, Ga. 30337.
Region 4, Federal Railroad Administration, Chicago, Illinois 60605.
Region 5, Federal Railroad Administration, Ft. Worth, Texas 76102.
Region 6, Federal Railroad Administration, Portland, Oregon 97204.
Region 7, Federal Railroad Administration, San Francisco, California
94102.
Region 8, Federal Railroad Administration, Kansas City, Missouri
64106
Hours: 9:00 a.m.-4:00 p.m.
Systems of Records and Responsible Systems Managers at each Region:
Regional Personnel Convenience Files; DOT/FRA--Regional Directors
(Systems Manager)
d. Place: Transportation Test Center (TTC) Pueblo, Colorado 81001.
Hours: 9:00 a.m.-4:00 p.m.
System of Records and Responsible System Manager:
Transportation Test Center Employee Service Record File--Director,
TTC (System Manager)
Transportation Test Center Cost Tracking System--Director TTC
(System Manager)
3. Access to Records.
a. Each individual desiring to determine whether a record pertaining
to him or her is contained in a system of records or to obtain
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a copy of such a record, shall make his request in writing to the
appropriate official listed as responsible system manager in this
appendix. Each request shall specify the name of the requesting
individual and the system of records in which the subject record is
located or thought to be located.
b. FRA allows individuals to request amendment of their personal
records to the extent that such amendment does not violate existing
statutes, regulations, or administrative procedures. Requests to amend
personal records of active employees should be addressed to the
responsible system managers specified in 2.3A-D.
c. The system managers provide written acknowledgment of the receipt
of a request to amend a record to the individual within ten days.
However, if the request can be reviewed, processed and the individual
notified of compliance or denial within the ten-day working period, no
acknowledgment is required.
d. If FRA agrees with an individual's request to amend the person's
record, the following steps are taken:
1. Advises the individual in writing;
2. Corrects the record accordingly; and
3. If a prior disclosure has been made, advises all previous
recipients of the record of the correction and its substance.
e. If FRA, after an initial review by the system manager of a
request to amend a personal record, disagrees with all or any portion of
it, FRA:
1. Advises the individual of refusal and the reasons for it;
2. Informs the individual of procedures to request a further review;
f. If an individual disagrees with the initial determination, the
individual may file a request for a further review of that
determination. The request for a review should be addressed to:
Attn: Privacy Act of 1974, Office of the Chief Counsel, Federal
Railroad Administration, Washington, DC 20590.
g. If after this review FRA refuses to amend the record as the
individual requested, FRA advises the individual:
1. Of refusal and the reasons for it;
2. Of the individual's right to file a concise statement of the
reasons for disagreeing with the decision of the Administration;
3. The procedures for filing the statement of disagreement;
4. That the statement which is filed will be made available to
anyone to whom the record is subsequently disclosed;
5. Of the individual's right to seek judicial review of the refusal
to amend a record.
h. The final FRA determination on the individual's request is
concluded within thirty (30) working days unless the FRA Administrator
determines that a fair and equitable review cannot be completed in that
time-frame. If additional time is required, the individual is informed
in writing of reasons for the delay and of the estimated date on which
the review is expected to be completed.
4. Procedures for Establishing Indentity of Individual Making a
Request:
a. Disclosure of personnel records requires that the individual
produce an identification card: employee identification, annuitant
identification, Medicare cards, or driver's license are examples. For
records disclosed by mail, FRA requires identifying information to
locate the record, i.e., employee identification number, name, date of
birth or social security number. A comparison of the signature of the
requester and those in the record is used to determine identity.
b. If an individual can provide no suitable documents for
identification, FRA requires a signed statement asserting identity and
stipulating that the individual understands that knowingly or willfully
seeking or obtaining access to records about another person under false
pretenses is punishable by a fine of up to $5,000 under 5 U.S.C.
552a(i)(3).
Appendix G to Part 10--National Highway Traffic Safety Administration
1. Introduction. This appendix, with respect to the National Highway
Traffic Safety Administration:
a. Describes the places and times at which records will be available
for inspection and copying;
b. Indicates the systems of records maintained in the National
Highway Traffic Safety Administration;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction
of a record; and
e. Describes identification requirements which may be in addition to
those delineated in Sec. 10.35 of these regulations.
2. Availability for Inspection and Copying. Records of the National
Highway Traffic Safety Administration, hereafter referred to as NHTSA,
are located at NHTSA headquarters, Washington, DC, and at regional
office locations, both described below. Records created, collected,
maintained and used in various demonstration and research projects as
contract requirements of NHTSA are located at various points in the
several States and the Commonwealth of Puerto Rico.
a. All NHTSA Headquarters offices are open from 7:45 a.m. to 4:15
p.m., each day except Saturdays, Sundays, and Federal legal holidays.
The main headquarters Office is located at 400 Seventh Street SW.,
Washington, DC 20590. The Office of Vehicle Safety
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Compliance, Enforcement Programs; the National Driver Register, Traffic
Safety Programs, and the Office of Research and Development are located
at the Trans Point Building, 2100 2nd Street SW., Washington, DC 20590.
b. NHTSA Regional offices are located at the following addresses and
are open during the indicated hours each day, except for Saturdays,
Sundays, and Federal legal holidays:
(1) Region I (Connecticut, Maine, Massachusetts, New Hampshire,
Rhode Island, Vermont), 55 Broadway, Cambridge, Massachusetts 02142
(7:45 a.m.-4:15 p.m.).
(2) Region II (New Jersey, New York, Puerto Rico, Virgin Islands),
222 Mamaroneck Avenue (room 204), White Plains, New York 10601 (7:45
a.m.-4:15 p.m.).
(3) Region III (Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, West Virginia), Airport Plaza Building, 6701
Elkridge Landing Road, Linthicum, Maryland 21090 (8:00 a.m.-4:30 p.m.).
(4) Region IV (Alabama, Florida, Georgia, Kentucky, Mississippi,
North Carolina, South Carolina, Tennessee), Suite 501, 1720 Peachtree
Road, N.W., Atlanta, Georgia 30309 (7:45 a.m.-4:15 p.m.).
(5) Region V (Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin), Suite 214, Executive Plaza, 1010 Dixie Highway, Chicago
Heights, Illinois 60411 (8:00 a.m.-4:30 p.m.).
(6) Region VI (Arkansas, Louisiana, New Mexico, Oklahoma, Texas),
819 Taylor Street, Room 11A26 Fort Worth, Texas 76102 (8:00 a.m.-4:30
p.m.).
(7) Region VII (Iowa, Kansas, Missouri, Nebraska), 6301 Rockhill
Road, Kansas City, Missouri 64111 (7:45 a.m.-4:15 p.m.).
(8) Region VIII (Colorado, Montana, North Dakota, South Dakota,
Utah, Wyoming), 330 South Garrison Street, Lakewood, Colorado 80226
(7:45 a.m.-4:15 p.m.).
(9) Region IX (American Samoa, Arizona, California, Guam, Hawaii,
Nevada), Suite 610, Two Embarcadero Center, San Francisco, California
94111 (7:45 a.m.-4:15 p.m.).
(10) Region X (Alaska, Idaho, Oregon, Washington), 3140 Federal
Building, 915 Second Avenue, Seattle, Washington 98174 (7:45 a.m.-4:15
p.m.).
c. NHTSA demonstration and research project records may be created,
collected, maintained, and used for the purposes of NHTSA contract
requirements. These records are maintained at various points in the
several States and the Commonwealth of Puerto Rico. Since these project
contractors only act as agents for NHTSA, and to prevent unauthorized
dsclosure of information that may be subject to the provisions of the
Privacy Act of 1974, management of the systems has been retained by
appropriate officials of NHTSA. Access to the published systems may be
obtained by corresponding with the systems manager indicated for the
system of records found in the citations in paragraph 3 of this
appendix. Appropriate personal identification must be furnished in
accordance with paragraph 4. These officials should be notified of any
inaccuracy of the record and, also, are responsible for considering
requests for correction or alteration of the record.
3. Systems of Records. A list of NHTSA systems of records pertaining
to the Privacy Act indicating the geographic locations and the
responsible systems managers has been published in the Federal Register
and appears as follows: Vol. 42, No. 181, September 19, 1977, beginning
on page 47099.
4. Access to Records.
a. Individuals desiring to determine whether records pertaining to
them are contained in systems of records covered by this appendix or
desiring access to records covered by this appendix, or to obtain copies
of such records, shall make written requests providing appropriate
identification of the system and proof of their identity in the same
manner as former employees described in 4.c below. When an individual is
not capable of personally providing the required information, a second
party request may be honored if a duly attested authorization, power of
attorney, or appropriate court order is submitted with the request.
b. Decision to release or deny requested records is made by the
system manager, identified in the citations of paragraph 3 of this
appendix, within ten working days of the receipt of the request. A
person seeking review of a denial of the disclosure of a record may
appeal to the NHTSA Associate Administrator for Administration, 400
Seventh Street SW., Washington, DC 20590, preferably within 180 days of
the initial denial. Decision on the request for review is made in
writing within 30 working days from the receipt of the request for
reconsideration of disclosure. For additional details see sections 10.45
and 10.51 of these rules.
c. Employees and former employees of NHTSA may obtain access to and
consideration of the amendment of their records by providing a current
Department of Transportation (DOT) identification card (Form D-
1600.1.9), a DOT retired employee identification card (Form D-1680.2),
Medicare card, attested signed request, or such other identification
that may prove the validity of their claims.
d. Since nearly all NHTSA systems of records are maintained on
electronic data processing equipment, it may require up to 48 hours to
obtain individual records due to computer scheduling requirements. It is
in the interest of the individual, therefore, to request information in
writing rather than in person.
5. Requests to Correct or Alter Records.
a. Individuals may request correction or alteration of records
pertaining to them by
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addressing such requests to the system managers or the NHTSA Privacy Act
Coordinator, the addresses of whom are contained in the citation of
paragraph 3 of this appendix.
b. Since the records of the National Driver Register merely contain
partial records of the State's motor vehicle records, they are
susceptible to correction or alteration only to the extent that such
records are at variance with the State records. Persons seeking to
correct their State motor vehicle records should address requests to
their respective States' motor vehicle licensing authorities.
c. The system manager, in accordance with 49 CFR 10.41, provides
written acknowledgment of the receipt of a request to amend a record to
the individual within ten working days. If the request can be reviewed,
processed, and the individual notified of compliance or denial of the
request within the ten working day period, no acknowledgment is
required.
d. When decision is made by the system manager to comply with an
individual's request to amend the person's record, the following steps
are taken within 30 working days from the date of acknowledgment of the
request:
(1) Advises the individual of the decision in writing;
(2) Corrects the record accordingly; and
(3) Advises all previous recipients of the record, if an accounting
of disclosure has been made, of the correction.
e. When decision is made, after initial review by the system manager
of a request to amend a personal record, to disagree with all or any
portion of the requested amendment, the following steps are taken within
30 working days from the date of acknowledgment of the request.
(1) Advises the individual of refusal and the reasons therefor; and
(2) Informs the individual of the procedures for appeal to the NHTSA
Administrator for further review.
f. If the individual disagrees with the initial determination of the
system manager, the individual may file a request for further review of
that determination. This request for review should be addressed to the
Chief Counsel, National Highway Traffic Safety Administration, 400
Seventh Street SW., Washington, DC 20590.
g. If after review the Administrator agrees to the amendment of the
record, the procedures of subparagraph 5.d of this appendix are
followed. If amendment of the record is refused as requested by the
individual, the individual is advised:
(1) Of the refusal and reasons therefore, and the names and titles
of positions of each person responsible for the determination;
(2) Of the individual's right to file, together with the appropriate
procedures, a concise statement of the reasons for disagreeing with the
decision of the Administrator;
(3) Of the fact that the statement which is filed by the requester
is made available to prior recipients and anyone to whom the record is
subsequently disclosed; and
(4) Of the individual's right to seek judicial review of the
administrator's refusal to amend a record.
h. The final determination to refuse an individual's request for
amendment of a record is concluded within 30 working days after the
receipt of the appeal to the Administrator. If a fair and equitable
review cannot be completed by the stipulated time, the Administrator
informs the individual in writing of the reasons for delay and provides
an estimated date on which completion of the review is expected.
6. Personal Identification Requirements. The NHTSA does not demand
any personal identification beyond that specified by Sec. 10.35 of this
part.
Appendix H to Part 10--Urban Mass Transportation Administration
1. Introduction. This appendix, with respect to the Urban Mass
Transportation Administration (UMTA):
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained in the Urban Mass
Transportation Administration;
c. Identifies the officials having authority to deny requests for
access for records;
d. Describes the procedures to be followed in requesting correction
of a record; and
e. Describes identification requirements which may be in addition to
those delineated in paragraph 1035 of these regulations.
2. Availability for Inspection and Copying. In accordance with title
49, part 10, subpart A, Section 10.1, dealing with the maintenance of an
access to records pertaining to individuals under the Privacy Act of
1974 (Pub. L. 93-579), the following places and times at which
individual's records are available for inspection and copying, and the
titles of the officials who are reponsible system managers are
submitted.
a. Regional Offices as follows:
(1) Region I, Urban Mass Transportation Administration, Cambridge,
MA 02142;
(2) Region II, Urban Mass Transportation Administration, New York,
NY 10007;
(3) Region III, Urban Mass Transportation Administration,
Philadelphia, PA 19106;
(4) Region IV, Urban Mass Transportation Administration, Atlanta, GA
30309;
(5) Region V, Urban Mass Transportation Administration, Chicago, IL
60606;
(6) Region VI, Urban Mass Transportation Administration, Ft. Worth,
TX 76102;
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(7) Region VII, Urban Mass Transportation Administration, Kansas
City, MO 64131;
(8) Region VIII, Urban Mass Transportation Administration, Denver CO
80202;
(9) Region IX, Urban Mass Transportation Administration, San
Francisco, CA 94111; and
(10) Region X, Urban Mass Transportation Administration, Seattle, WA
98174.
b. Hours: 8:30 a.m. to 5 p.m., local time.
c. System of Records: Regional Personnel Convenience Files at each
location.
d. System Managers: Regional Directors or Chiefs are System
Managers.
e. Headquarters: Urban Mass Transportation Administration,
Washington Headquarters, Washington, DC 20590; Hours: 8:30 a.m. to 5
p.m.
3. Systems of Records.
a. Confidential Statement of Employment and Financial Interest--DOT/
UMTA, Chief Counsel, Office of the Chief Counsel;
b. Occupational Safety and Health Reporting System, Director of
Personnel Division;
c. Litigation and Claims File--Chief Counsel, Office of Chief
Counsel;
d. Grant Applicants List, Director, Grant Management Division; st
e. Contract Information System, Director, Procurement Division;
f. Unsolicited Research and Development Grants, Director, Grant
Management Division;
g. Complaints of Discrimination, Director, Office of Civil Rights;
h. Employee Travel Vouchers, Chief, Accounting Branch;
i. Accounts Receivable, Chief, Accounting Branch;
j. Equal Employment Opportunity, Minority/Female Statistical
Reporting System, Director, Office of Civil Rights;
k. Minority Recruitment File, Director, Office of Civil Rights;
l. UMTA Sponsored Reports--Authors File, Director, Office of Transit
Management;
m. Blood Donors File, Director, Administrative Services Division;
n. Approved Grants, Director, Administrative Services Division;
o. Closed-Out Grants, Director, Administrative Services Division;
and
p. Docket DOT/UMTA, Chief Counsel, Office of Chief Counsel.
4. Access to Records. Each individual desiring to determine whether
a record pertaining to him or her is contained in a system of records or
to obtain a copy of such a record, shall make request in writing to the
official specified in paragraph 1 of this appendix. Each request shall
specify the name of the requesting individual and the system of records
in which the subject record is located or thought to be located.
5. Requests to Correct or Alter Records.
a. The Administration allows individuals to request amendment of
their personal records to the extent that such amendment does not
violate existing statutes, regulations, or administrative procedures.
Requests to amend personal records of active employees should be
addressed to the responsible system manager specified in paragraph 1.
b. The system manager provides a written acknowledgment of the
receipt of a request to amend a record to the individual within ten
days. However, if the request can be reviewed and processed and the
individual notified of compliance or denial within the ten-day working
period, no separate acknowledgment is required.
c. If UMTA agrees with an individual's request to amend the person's
record, the following steps are taken:
(1) Advises the individual in writing;
(2) Corrects the record accordingly; and
(3) Advises all previous recipients of the record which was
corrected of the correction and its substance.
d. If UMTA, after an initial review by the system manager of a
request to amend a personal record, disagrees with all or any portion of
it, it:
(1) Advises the individual of refusal and the reasons for it; and
(2) Informs the individual of procedures to request a further
review.
e. If an individual disagrees with the initial determination, the
individual may file a request for a further review of that
determination. This request for a review should be addressed to: Privacy
Act Officer, UAD-60, 400 Seventh Street SW., Washington, DC 20590.
f. If after this review UMTA refuses to amend the record as the
individual requested, UMTA advises the individual:
(1) Of refusal and the reasons for it;
(2) Of the individual's right to file a concise statement of the
reasons for disagreeing with the decision;
(3) The procedures for filing the statement of disagreement;
(4) That the statement which is filed is made available to anyone to
whom the record is subsequently disclosed; and
(5) Of the individual's right to seek judicial review of the
Administration's refusal to amend a record.
g. The final determination on the individual's request is concluded
within 30 working days unless the UMTA Administrator determines that a
fair and equitable review cannot be completed in that period. If
additional time is required, the individual is informed in writing of
reasons for the delay and of the estimated date on which the review is
expected to be completed.
h. For personnel-related records final Civil Service Commission
determination may apply within 30 working days following the procedures
explained above.
6. Personal Identification Requirements.
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a. Disclosure of personal records requires that the individual
produce an identification card; employee identification, annuitant
identification, Medicare card, and driver's license are examples. For
records disclosed by mail, UMTA requires identifying information to
locate the record, i.e., employee identification number, name, date of
birth, or social security number. A comparison of the signature of the
requester and those in the record is used to determine identity.
b. If an individual can provide no suitable documents for
identification, UMTA requires a signed statement asserting identity and
stipulating that the individual understands that knowingly or willfully
seeking or obtaining access to records about another person under false
pretenses is punishable by a fine of up to $5,000 under citation 3(i)3
of the Privacy Act.
Appendix I to Part 10--Saint Lawrence Seaway Development Corporation
1. Introduction. This appendix, with respect to the Saint Lawrence
Seaway Development Corporation:
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction
of a record; and
e. Describes identification requirements which may be in addition to
those delineated in Sec. 10.35 of these regulations.
2. Availability for Inspection and Copying.
a. Place and time for records inspection and copying: Saint Lawrence
Seaway Development Corporation, Administration Building, Andrews Street,
Massena, New York 13662; Massena Office: 9:00 a.m.-4:00 p.m.
b. Systems of records located at each facility: Administration
Building: Claimants under Federal Tort Claims Act, Data Automation
Program Records, Employees' Compensation Records, Emergency Operating
Records (Vital Records).
c. Official having authority to deny requests for disclosure of
records under this part:
Resident Manager, Saint Lawrence Seaway Development Corporation,
Administration Building, Andrews Street, Massena, New York 13662.
3. Systems of Records: A complete listing of the systems of records
maintained by the Saint Lawrence Seaway Development Corporation has been
published in the Federal Register as follows: September 19, 1977, pages
47138-47140.
4. Access to Records: Each individual desiring to determine whether
a record pertaining to him or her is contained in a system of records or
to obtain a copy of such record, shall make request in writing to the
address provided in section 2 of this appendix. Each request shall
specify the name of the requesting individual and the system of records
in which the subject record is located or thought to be located.
5. Requests to Correct or Alter a Record:
a. Any person who desires to have his or her own record corrected
shall submit a written request.
b. Only the individual to whom the record pertains may make the
written request and it shall be signed by that person.
c. Request should state the reasons that the record should be
corrected and that the request is made pursuant to the Privacy Act;
alternatively the requester may mark ``Privacy Act Amendment Request''
on the envelope in which the request is submitted.
d. Requests for correction of records shall be submitted to the
Personnel Officer, Saint Lawrence Seaway Development Corporation,
Administration Building, Andrews Street, Massena, New York 13662.
6. Personal Identification Requirements: Refer to Sec. 10.35 for
normal requirements. In those cases involving mail requests for
sensitive records, i.e.--medical records, the requester's signature
shall be notarized.
Appendix J to Part 10--Research and Special Programs Administration
The Research and Special Programs Administration (RSPA) will operate
under the general rules of part 10 (49 CFR part 10) until specific
procedures are deemed necessary for the RSPA.
PART 11--PROTECTION OF HUMAN SUBJECTS--Table of Contents
Sec.
11.101 To what does this policy apply?
11.102 Definitions.
11.103 Assuring compliance with this policy--research conducted or
supported by any Federal Department or Agency.
11.104--11.106 [Reserved]
11.107 IRB Membership.
11.108 IRB functions and operations.
11.109 IRB review of research.
11.110 Expedited review procedures for certain kinds of research
involving no more than minimal risk, and for minor changes in
approved research.
11.111 Criteria for IRB approval of research.
11.112 Review by institution.
11.113 Suspension or termination of IRB approval of research.
11.114 Cooperative research.
11.115 IRB records.
11.116 General requirements for informed consent.
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11.117 Documentation of informed consent.
11.118 Applications and proposals lacking definite plans for
involvement of human subjects.
11.119 Research undertaken without the intention of involving human
subjects.
11.120 Evaluation and disposition of applications and proposals for
research to be conducted or supported by a Federal Department
or Agency.
11.121 [Reserved]
11.122 Use of Federal funds.
11.123 Early termination of research support: Evaluation of
applications and proposals.
11.124 Conditions.
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Source: 56 FR 28012, 28023, June 18, 1991, unless otherwise noted.
Sec. 11.101 To what does this policy apply?
(a) Except as provided in paragraph (b) of this section, this policy
applies to all research involving human subjects conducted, supported or
otherwise subject to regulation by any federal department or agency
which takes appropriate administrative action to make the policy
applicable to such research. This includes research conducted by federal
civilian employees or military personnel, except that each department or
agency head may adopt such procedural modifications as may be
appropriate from an administrative standpoint. It also includes research
conducted, supported, or otherwise subject to regulation by the federal
government outside the United States.
(1) Research that is conducted or supported by a federal department
or agency, whether or not it is regulated as defined in Sec. 11.102(e),
must comply with all sections of this policy.
(2) Research that is neither conducted nor supported by a federal
department or agency but is subject to regulation as defined in
Sec. 11.102(e) must be reviewed and approved, in compliance with
Sec. 11.101, Sec. 11.102, and Sec. 11.107 through Sec. 11.117 of this
policy, by an institutional review board (IRB) that operates in
accordance with the pertinent requirements of this policy.
(b) Unless otherwise required by department or agency heads,
research activities in which the only involvement of human subjects will
be in one or more of the following categories are exempt from this
policy:
(1) Research conducted in established or commonly accepted
educational settings, involving normal educational practices, such as
(i) research on regular and special education instructional strategies,
or (ii) research on the effectiveness of or the comparison among
instructional techniques, curricula, or classroom management methods.
(2) Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior, unless:
(i) Information obtained is recorded in such a manner that human
subjects can be identified, directly or through identifiers linked to
the subjects; and (ii) any disclosure of the human subjects' responses
outside the research could reasonably place the subjects at risk of
criminal or civil liability or be damaging to the subjects' financial
standing, employability, or reputation.
(3) Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures, or observation of public behavior that is not exempt under
paragraph (b)(2) of this section, if:
(i) The human subjects are elected or appointed public officials or
candidates for public office; or (ii) federal statute(s) require(s)
without exception that the confidentiality of the personally
identifiable information will be maintained throughout the research and
thereafter.
(4) Research, involving the collection or study of existing data,
documents, records, pathological specimens, or diagnostic specimens, if
these sources are publicly available or if the information is recorded
by the investigator in such a manner that subjects cannot be identified,
directly or through identifiers linked to the subjects.
(5) Research and demonstration projects which are conducted by or
subject to the approval of department or agency heads, and which are
designed to study, evaluate, or otherwise examine:
(i) Public benefit or service programs; (ii) procedures for
obtaining
[[Page 130]]
benefits or services under those programs; (iii) possible changes in or
alternatives to those programs or procedures; or (iv) possible changes
in methods or levels of payment for benefits or services under those
programs.
(6) Taste and food quality evaluation and consumer acceptance
studies, (i) if wholesome foods without additives are consumed or (ii)
if a food is consumed that contains a food ingredient at or below the
level and for a use found to be safe, or agricultural chemical or
environmental contaminant at or below the level found to be safe, by the
Food and Drug Administration or approved by the Environmental Protection
Agency or the Food Safety and Inspection Service of the U.S. Department
of Agriculture.
(c) Department or agency heads retain final judgment as to whether a
particular activity is covered by this policy.
(d) Department or agency heads may require that specific research
activities or classes of research activities conducted, supported, or
otherwise subject to regulation by the department or agency but not
otherwise covered by this policy, comply with some or all of the
requirements of this policy.
(e) Compliance with this policy requires compliance with pertinent
federal laws or regulations which provide additional protections for
human subjects.
(f) This policy does not affect any state or local laws or
regulations which may otherwise be applicable and which provide
additional protections for human subjects.
(g) This policy does not affect any foreign laws or regulations
which may otherwise be applicable and which provide additional
protections to human subjects of research.
(h) When research covered by this policy takes place in foreign
countries, procedures normally followed in the foreign countries to
protect human subjects may differ from those set forth in this policy.
[An example is a foreign institution which complies with guidelines
consistent with the World Medical Assembly Declaration (Declaration of
Helsinki amended 1989) issued either by sovereign states or by an
organization whose function for the protection of human research
subjects is internationally recognized.] In these circumstances, if a
department or agency head determines that the procedures prescribed by
the institution afford protections that are at least equivalent to those
provided in this policy, the department or agency head may approve the
substitution of the foreign procedures in lieu of the procedural
requirements provided in this policy. Except when otherwise required by
statute, Executive Order, or the department or agency head, notices of
these actions as they occur will be published in the Federal Register or
will be otherwise published as provided in department or agency
procedures.
(i) Unless otherwise required by law, department or agency heads may
waive the applicability of some or all of the provisions of this policy
to specific research activities or classes of research activities
otherwise covered by this policy. Except when otherwise required by
statute or Executive Order, the department or agency head shall forward
advance notices of these actions to the Office for Protection from
Research Risks, Department of Health and Human Services (HHS), and shall
also publish them in the Federal Register or in such other manner as
provided in department or agency procedures.\1\
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\1\ Institutions with HHS-approved assurances on file will abide by
provisions of title 45 CFR part 46 subparts A-D. Some of the other
Departments and Agencies have incorporated all provisions of title 45
CFR part 46 into their policies and procedures as well. However, the
exemptions at 45 CFR 46.101(b) do not apply to research involving
prisoners, fetuses, pregnant women, or human in vitro fertilization,
subparts B and C. The exemption at 45 CFR 46.101(b)(2), for research
involving survey or interview procedures or observation of public
behavior, does not apply to research with children, subpart D, except
for research involving observations of public behavior when the
investigator(s) do not participate in the activities being observed.
[56 FR 28012, 28023, June 18, 1991; 56 FR 29756, June 28, 1991]
Sec. 11.102 Definitions.
(a) Department or agency head means the head of any federal
department or
[[Page 131]]
agency and any other officer or employee of any department or agency to
whom authority has been delegated.
(b) Institution means any public or private entity or agency
(including federal, state, and other agencies).
(c) Legally authorized representative means an individual or
judicial or other body authorized under applicable law to consent on
behalf of a prospective subject to the subject's participation in the
procedure(s) involved in the research.
(d) Research means a systematic investigation, including research
development, testing and evaluation, designed to develop or contribute
to generalizable knowledge. Activities which meet this definition
constitute research for purposes of this policy, whether or not they are
conducted or supported under a program which is considered research for
other purposes. For example, some demonstration and service programs may
include research activities.
(e) Research subject to regulation, and similar terms are intended
to encompass those research activities for which a federal department or
agency has specific responsibility for regulating as a research
activity, (for example, Investigational New Drug requirements
administered by the Food and Drug Administration). It does not include
research activities which are incidentally regulated by a federal
department or agency solely as part of the department's or agency's
broader responsibility to regulate certain types of activities whether
research or non-research in nature (for example, Wage and Hour
requirements administered by the Department of Labor).
(f) Human subject means a living individual about whom an
investigator (whether professional or student) conducting research
obtains
(1) Data through intervention or interaction with the individual, or
(2) Identifiable private information.
Intervention includes both physical procedures by which data are
gathered (for example, venipuncture) and manipulations of the subject or
the subject's environment that are performed for research purposes.
Interaction includes communication or interpersonal contact between
investigator and subject. ``Private information'' includes information
about behavior that occurs in a context in which an individual can
reasonably expect that no observation or recording is taking place, and
information which has been provided for specific purposes by an
individual and which the individual can reasonably expect will not be
made public (for example, a medical record). Private information must be
individually identifiable (i.e., the identity of the subject is or may
readily be ascertained by the investigator or associated with the
information) in order for obtaining the information to constitute
research involving human subjects.
(g) IRB means an institutional review board established in accord
with and for the purposes expressed in this policy.
(h) IRB approval means the determination of the IRB that the
research has been reviewed and may be conducted at an institution within
the constraints set forth by the IRB and by other institutional and
federal requirements.
(i) Minimal risk means that the probability and magnitude of harm or
discomfort anticipated in the research are not greater in and of
themselves than those ordinarily encountered in daily life or during the
performance of routine physical or psychological examinations or tests.
(j) Certification means the official notification by the institution
to the supporting department or agency, in accordance with the
requirements of this policy, that a research project or activity
involving human subjects has been reviewed and approved by an IRB in
accordance with an approved assurance.
Sec. 11.103 Assuring compliance with this policy--research conducted or supported by any Federal Department or Agency.
(a) Each institution engaged in research which is covered by this
policy and which is conducted or supported by a federal department or
agency shall provide written assurance satisfactory to the department or
agency head that it will comply with the requirements set forth in this
policy. In lieu of requiring submission of an assurance, individual
department or agency heads
[[Page 132]]
shall accept the existence of a current assurance, appropriate for the
research in question, on file with the Office for Protection from
Research Risks, HHS, and approved for federalwide use by that office.
When the existence of an HHS-approved assurance is accepted in lieu of
requiring submission of an assurance, reports (except certification)
required by this policy to be made to department and agency heads shall
also be made to the Office for Protection from Research Risks, HHS.
(b) Departments and agencies will conduct or support research
covered by this policy only if the institution has an assurance approved
as provided in this section, and only if the institution has certified
to the department or agency head that the research has been reviewed and
approved by an IRB provided for in the assurance, and will be subject to
continuing review by the IRB. Assurances applicable to federally
supported or conducted research shall at a minimum include:
(1) A statement of principles governing the institution in the
discharge of its responsibilities for protecting the rights and welfare
of human subjects of research conducted at or sponsored by the
institution, regardless of whether the research is subject to federal
regulation. This may include an appropriate existing code, declaration,
or statement of ethical principles, or a statement formulated by the
institution itself. This requirement does not preempt provisions of this
policy applicable to department- or agency-supported or regulated
research and need not be applicable to any research exempted or waived
under Sec. 11.101 (b) or (i).
(2) Designation of one or more IRBs established in accordance with
the requirements of this policy, and for which provisions are made for
meeting space and sufficient staff to support the IRB's review and
recordkeeping duties.
(3) A list of IRB members identified by name; earned degrees;
representative capacity; indications of experience such as board
certifications, licenses, etc., sufficient to describe each member's
chief anticipated contributions to IRB deliberations; and any employment
or other relationship between each member and the institution; for
example: full-time employee, part-time employee, member of governing
panel or board, stockholder, paid or unpaid consultant. Changes in IRB
membership shall be reported to the department or agency head, unless in
accord with Sec. 11.103(a) of this policy, the existence of an HHS-
approved assurance is accepted. In this case, change in IRB membership
shall be reported to the Office for Protection from Research Risks, HHS.
(4) Written procedures which the IRB will follow (i) for conducting
its initial and continuing review of research and for reporting its
findings and actions to the investigator and the institution; (ii) for
determining which projects require review more often than annually and
which projects need verification from sources other than the
investigators that no material changes have occurred since previous IRB
review; and (iii) for ensuring prompt reporting to the IRB of proposed
changes in a research activity, and for ensuring that such changes in
approved research, during the period for which IRB approval has already
been given, may not be initiated without IRB review and approval except
when necessary to eliminate apparent immediate hazards to the subject.
(5) Written procedures for ensuring prompt reporting to the IRB,
appropriate institutional officials, and the department or agency head
of (i) any unanticipated problems involving risks to subjects or others
or any serious or continuing noncompliance with this policy or the
requirements or determinations of the IRB and (ii) any suspension or
termination of IRB approval.
(c) The assurance shall be executed by an individual authorized to
act for the institution and to assume on behalf of the institution the
obligations imposed by this policy and shall be filed in such form and
manner as the department or agency head prescribes.
(d) The department or agency head will evaluate all assurances
submitted in accordance with this policy through such officers and
employees of the department or agency and such experts or consultants
engaged for this purpose
[[Page 133]]
as the department or agency head determines to be appropriate. The
department or agency head's evaluation will take into consideration the
adequacy of the proposed IRB in light of the anticipated scope of the
institution's research activities and the types of subject populations
likely to be involved, the appropriateness of the proposed initial and
continuing review procedures in light of the probable risks, and the
size and complexity of the institution.
(e) On the basis of this evaluation, the department or agency head
may approve or disapprove the assurance, or enter into negotiations to
develop an approvable one. The department or agency head may limit the
period during which any particular approved assurance or class of
approved assurances shall remain effective or otherwise condition or
restrict approval.
(f) Certification is required when the research is supported by a
federal department or agency and not otherwise exempted or waived under
Sec. 11.101 (b) or (i). An institution with an approved assurance shall
certify that each application or proposal for research covered by the
assurance and by Sec. 11.103 of this Policy has been reviewed and
approved by the IRB. Such certification must be submitted with the
application or proposal or by such later date as may be prescribed by
the department or agency to which the application or proposal is
submitted. Under no condition shall research covered by Sec. 11.103 of
the Policy be supported prior to receipt of the certification that the
research has been reviewed and approved by the IRB. Institutions without
an approved assurance covering the research shall certify within 30 days
after receipt of a request for such a certification from the department
or agency, that the application or proposal has been approved by the
IRB. If the certification is not submitted within these time limits, the
application or proposal may be returned to the institution.
(Approved by the Office of Management and Budget under control number
9999-0020)
[56 FR 28012, 28023, June 18, 1991; 56 FR 29756, June 28, 1991]
Secs. 11.104--11.106 [Reserved]
Sec. 11.107 IRB membership.
(a) Each IRB shall have at least five members, with varying
backgrounds to promote complete and adequate review of research
activities commonly conducted by the institution. The IRB shall be
sufficiently qualified through the experience and expertise of its
members, and the diversity of the members, including consideration of
race, gender, and cultural backgrounds and sensitivity to such issues as
community attitudes, to promote respect for its advice and counsel in
safeguarding the rights and welfare of human subjects. In addition to
possessing the professional competence necessary to review specific
research activities, the IRB shall be able to ascertain the
acceptability of proposed research in terms of institutional commitments
and regulations, applicable law, and standards of professional conduct
and practice. The IRB shall therefore include persons knowledgeable in
these areas. If an IRB regularly reviews research that involves a
vulnerable category of subjects, such as children, prisoners, pregnant
women, or handicapped or mentally disabled persons, consideration shall
be given to the inclusion of one or more individuals who are
knowledgeable about and experienced in working with these subjects.
(b) Every nondiscriminatory effort will be made to ensure that no
IRB consists entirely of men or entirely of women, including the
institution's consideration of qualified persons of both sexes, so long
as no selection is made to the IRB on the basis of gender. No IRB may
consist entirely of members of one profession.
(c) Each IRB shall include at least one member whose primary
concerns are in scientific areas and at least one member whose primary
concerns are in nonscientific areas.
(d) Each IRB shall include at least one member who is not otherwise
affiliated with the institution and who is not part of the immediate
family of a person who is affiliated with the institution.
(e) No IRB may have a member participate in the IRB's initial or
continuing review of any project in which the
[[Page 134]]
member has a conflicting interest, except to provide information
requested by the IRB.
(f) An IRB may, in its discretion, invite individuals with
competence in special areas to assist in the review of issues which
require expertise beyond or in addition to that available on the IRB.
These individuals may not vote with the IRB.
Sec. 11.108 IRB functions and operations.
In order to fulfill the requirements of this policy each IRB shall:
(a) Follow written procedures in the same detail as described in
Sec. 11.103(b)(4) and, to the extent required by, Sec. 11.103(b)(5).
(b) Except when an expedited review procedure is used (see
Sec. 11.110), review proposed research at convened meetings at which a
majority of the members of the IRB are present, including at least one
member whose primary concerns are in nonscientific areas. In order for
the research to be approved, it shall receive the approval of a majority
of those members present at the meeting.
Sec. 11.109 IRB Review of Research.
(a) An IRB shall review and have authority to approve, require
modifications in (to secure approval), or disapprove all research
activities covered by this policy.
(b) An IRB shall require that information given to subjects as part
of informed consent is in accordance with Sec. 11.116. The IRB may
require that information, in addition to that specifically mentioned in
Sec. 11.116, be given to the subjects when in the IRB's judgment the
information would meaningfully add to the protection of the rights and
welfare of subjects.
(c) An IRB shall require documentation of informed consent or may
waive documentation in accordance with Sec. 11.117.
(d) An IRB shall notify investigators and the institution in writing
of its decision to approve or disapprove the proposed research activity,
or of modifications required to secure IRB approval of the research
activity. If the IRB decides to disapprove a research activity, it shall
include in its written notification a statement of the reasons for its
decision and give the investigator an opportunity to respond in person
or in writing.
(e) An IRB shall conduct continuing review of research covered by
this policy at intervals appropriate to the degree of risk, but not less
than once per year, and shall have authority to observe or have a third
party observe the consent process and the research.
(Approved by the Office of Management and Budget under control number
9999-0020)
Sec. 11.110 Expedited review procedures for certain kinds of research involving no more than minimal risk, and for minor changes in approved research.
(a) The Secretary, HHS, has established, and published as a Notice
in the Federal Register, a list of categories of research that may be
reviewed by the IRB through an expedited review procedure. The list will
be amended, as appropriate after consultation with other departments and
agencies, through periodic republication by the Secretary, HHS, in the
Federal Register. A copy of the list is available from the Office for
Protection from Research Risks, National Institutes of Health, HHS,
Bethesda, Maryland 20892.
(b) An IRB may use the expedited review procedure to review either
or both of the following:
(1) Some or all of the research appearing on the list and found by
the reviewer(s) to involve no more than minimal risk,
(2) Minor changes in previously approved research during the period
(of one year or less) for which approval is authorized.
Under an expedited review procedure, the review may be carried out by
the IRB chairperson or by one or more experienced reviewers designated
by the chairperson from among members of the IRB. In reviewing the
research, the reviewers may exercise all of the authorities of the IRB
except that the reviewers may not disapprove the research. A research
activity may be disapproved only after review in accordance with the
non-expedited procedure set forth in Sec. 11.108(b).
(c) Each IRB which uses an expedited review procedure shall adopt a
method
[[Page 135]]
for keeping all members advised of research proposals which have been
approved under the procedure.
(d) The department or agency head may restrict, suspend, terminate,
or choose not to authorize an institution's or IRB's use of the
expedited review procedure.
Sec. 11.111 Criteria for IRB approval of research.
(a) In order to approve research covered by this policy the IRB
shall determine that all of the following requirements are satisfied:
(1) Risks to subjects are minimized: (i) By using procedures which
are consistent with sound research design and which do not unnecessarily
expose subjects to risk, and (ii) whenever appropriate, by using
procedures already being performed on the subjects for diagnostic or
treatment purposes.
(2) Risks to subjects are reasonable in relation to anticipated
benefits, if any, to subjects, and the importance of the knowledge that
may reasonably be expected to result. In evaluating risks and benefits,
the IRB should consider only those risks and benefits that may result
from the research (as distinguished from risks and benefits of therapies
subjects would receive even if not participating in the research). The
IRB should not consider possible long-range effects of applying
knowledge gained in the research (for example, the possible effects of
the research on public policy) as among those research risks that fall
within the purview of its responsibility.
(3) Selection of subjects is equitable. In making this assessment
the IRB should take into account the purposes of the research and the
setting in which the research will be conducted and should be
particularly cognizant of the special problems of research involving
vulnerable populations, such as children, prisoners, pregnant women,
mentally disabled persons, or economically or educationally
disadvantaged persons.
(4) Informed consent will be sought from each prospective subject or
the subject's legally authorized representative, in accordance with, and
to the extent required by Sec. 11.116.
(5) Informed consent will be appropriately documented, in accordance
with, and to the extent required by Sec. 11.117.
(6) When appropriate, the research plan makes adequate provision for
monitoring the data collected to ensure the safety of subjects.
(7) When appropriate, there are adequate provisions to protect the
privacy of subjects and to maintain the confidentiality of data.
(b) When some or all of the subjects are likely to be vulnerable to
coercion or undue influence, such as children, prisoners, pregnant
women, mentally disabled persons, or economically or educationally
disadvantaged persons, additional safeguards have been included in the
study to protect the rights and welfare of these subjects.
Sec. 11.112 Review by institution.
Research covered by this policy that has been approved by an IRB may
be subject to further appropriate review and approval or disapproval by
officials of the institution. However, those officials may not approve
the research if it has not been approved by an IRB.
Sec. 11.113 Suspension or termination of IRB approval of research.
An IRB shall have authority to suspend or terminate approval of
research that is not being conducted in accordance with the IRB's
requirements or that has been associated with unexpected serious harm to
subjects. Any suspension or termination of approval shall include a
statement of the reasons for the IRB's action and shall be reported
promptly to the investigator, appropriate institutional officials, and
the department or agency head.
(Approved by the Office of Management and Budget under control number
9999-0020)
Sec. 11.114 Cooperative research.
Cooperative research projects are those projects covered by this
policy which involve more than one institution. In the conduct of
cooperative research projects, each institution is responsible for
safeguarding the rights and welfare of human subjects and for complying
with this policy. With the approval of the department or agency head, an
institution participating in a
[[Page 136]]
cooperative project may enter into a joint review arrangement, rely upon
the review of another qualified IRB, or make similar arrangements for
avoiding duplication of effort.
Sec. 11.115 IRB records.
(a) An institution, or when appropriate an IRB, shall prepare and
maintain adequate documentation of IRB activities, including the
following:
(1) Copies of all research proposals reviewed, scientific
evaluations, if any, that accompany the proposals, approved sample
consent documents, progress reports submitted by investigators, and
reports of injuries to subjects.
(2) Minutes of IRB meetings which shall be in sufficient detail to
show attendance at the meetings; actions taken by the IRB; the vote on
these actions including the number of members voting for, against, and
abstaining; the basis for requiring changes in or disapproving research;
and a written summary of the discussion of controverted issues and their
resolution.
(3) Records of continuing review activities.
(4) Copies of all correspondence between the IRB and the
investigators.
(5) A list of IRB members in the same detail as described is
Sec. 11.103(b)(3).
(6) Written procedures for the IRB in the same detail as described
in Sec. 11.103(b)(4) and Sec. 11.103(b)(5).
(7) Statements of significant new findings provided to subjects, as
required by Sec. 11.116(b)(5).
(b) The records required by this policy shall be retained for at
least 3 years, and records relating to research which is conducted shall
be retained for at least 3 years after completion of the research. All
records shall be accessible for inspection and copying by authorized
representatives of the department or agency at reasonable times and in a
reasonable manner.
(Approved by the Office of Management and Budget under control number
9999-0020)
Sec. 11.116 General requirements for informed consent.
Except as provided elsewhere in this policy, no investigator may
involve a human being as a subject in research covered by this policy
unless the investigator has obtained the legally effective informed
consent of the subject or the subject's legally authorized
representative. An investigator shall seek such consent only under
circumstances that provide the prospective subject or the representative
sufficient opportunity to consider whether or not to participate and
that minimize the possibility of coercion or undue influence. The
information that is given to the subject or the representative shall be
in language understandable to the subject or the representative. No
informed consent, whether oral or written, may include any exculpatory
language through which the subject or the representative is made to
waive or appear to waive any of the subject's legal rights, or releases
or appears to release the investigator, the sponsor, the institution or
its agents from liability for negligence.
(a) Basic elements of informed consent. Except as provided in
paragraph (c) or (d) of this section, in seeking informed consent the
following information shall be provided to each subject:
(1) A statement that the study involves research, an explanation of
the purposes of the research and the expected duration of the subject's
participation, a description of the procedures to be followed, and
identification of any procedures which are experimental;
(2) A description of any reasonably foreseeable risks or discomforts
to the subject;
(3) A description of any benefits to the subject or to others which
may reasonably be expected from the research;
(4) A disclosure of appropriate alternative procedures or courses of
treatment, if any, that might be advantageous to the subject;
(5) A statement describing the extent, if any, to which
confidentiality of records identifying the subject will be maintained;
(6) For research involving more than minimal risk, an explanation as
to whether any compensation and an explanation as to whether any medical
treatments are available if injury occurs and, if so, what they consist
of, or where further information may be obtained;
[[Page 137]]
(7) An explanation of whom to contact for answers to pertinent
questions about the research and research subjects' rights, and whom to
contact in the event of a research-related injury to the subject; and
(8) A statement that participation is voluntary, refusal to
participate will involve no penalty or loss of benefits to which the
subject is otherwise entitled, and the subject may discontinue
participation at any time without penalty or loss of benefits to which
the subject is otherwise entitled.
(b) Additional elements of informed consent. When appropriate, one
or more of the following elements of information shall also be provided
to each subject:
(1) A statement that the particular treatment or procedure may
involve risks to the subject (or to the embryo or fetus, if the subject
is or may become pregnant) which are currently unforeseeable;
(2) Anticipated circumstances under which the subject's
participation may be terminated by the investigator without regard to
the subject's consent;
(3) Any additional costs to the subject that may result from
participation in the research;
(4) The consequences of a subject's decision to withdraw from the
research and procedures for orderly termination of participation by the
subject;
(5) A statement that significant new findings developed during the
course of the research which may relate to the subject's willingness to
continue participation will be provided to the subject; and
(6) The approximate number of subjects involved in the study.
(c) An IRB may approve a consent procedure which does not include,
or which alters, some or all of the elements of informed consent set
forth above, or waive the requirement to obtain informed consent
provided the IRB finds and documents that:
(1) The research or demonstration project is to be conducted by or
subject to the approval of state or local government officials and is
designed to study, evaluate, or otherwise examine: (i) public benefit of
service programs; (ii) procedures for obtaining benefits or services
under those programs; (iii) possible changes in or alternatives to those
programs or procedures; or (iv) possible changes in methods or levels of
payment for benefits or services under those programs; and
(2) The research could not practicably be carried out without the
waiver or alteration.
(d) An IRB may approve a consent procedure which does not include,
or which alters, some or all of the elements of informed consent set
forth in this section, or waive the requirements to obtain informed
consent provided the IRB finds and documents that:
(1) The research involves no more than minimal risk to the subjects;
(2) The waiver or alteration will not adversely affect the rights
and welfare of the subjects;
(3) The research could not practicably be carried out without the
waiver or alteration; and
(4) Whenever appropriate, the subjects will be provided with
additional pertinent information after participation.
(e) The informed consent requirements in this policy are not
intended to preempt any applicable Federal, state, or local laws which
require additional information to be disclosed in order for informed
consent to be legally effective.
(f) Nothing in this policy is intended to limit the authority of a
physician to provide emergency medical care, to the extent the physician
is permitted to do so under applicable Federal, state, or local law.
(Approved by the Office of Management and Budget under control number
9999-0020)
Sec. 11.117 Documentation of informed consent.
(a) Except as provided in paragraph (c) of this section, informed
consent shall be documented by the use of a written consent form
approved by the IRB and signed by the subject or the subject's legally
authorized representative. A copy shall be given to the person signing
the form.
(b) Except as provided in paragraph (c) of this section, the consent
form may be either of the following:
(1) A written consent document that embodies the elements of
informed
[[Page 138]]
consent required by Sec. 11.116. This form may be read to the subject or
the subject's legally authorized representative, but in any event, the
investigator shall give either the subject or the representative
adequate opportunity to read it before it is signed; or
(2) A short form written consent document stating that the elements
of informed consent required by Sec. 11.116 have been presented orally
to the subject or the subject's legally authorized representative. When
this method is used, there shall be a witness to the oral presentation.
Also, the IRB shall approve a written summary of what is to be said to
the subject or the representative. Only the short form itself is to be
signed by the subject or the representative. However, the witness shall
sign both the short form and a copy of the summary, and the person
actually obtaining consent shall sign a copy of the summary. A copy of
the summary shall be given to the subject or the representative, in
addition to a copy of the short form.
(c) An IRB may waive the requirement for the investigator to obtain
a signed consent form for some or all subjects if it finds either:
(1) That the only record linking the subject and the research would
be the consent document and the principal risk would be potential harm
resulting from a breach of confidentiality. Each subject will be asked
whether the subject wants documentation linking the subject with the
research, and the subject's wishes will govern; or
(2) That the research presents no more than minimal risk of harm to
subjects and involves no procedures for which written consent is
normally required outside of the research context.
In cases in which the documentation requirement is waived, the IRB
may require the investigator to provide subjects with a written
statement regarding the research.
(Approved by the Office of Management and Budget under control number
9999-0020)
Sec. 11.118 Applications and proposals lacking definite plans for involvement of human subjects.
Certain types of applications for grants, cooperative agreements, or
contracts are submitted to departments or agencies with the knowledge
that subjects may be involved within the period of support, but definite
plans would not normally be set forth in the application or proposal.
These include activities such as institutional type grants when
selection of specific projects is the institution's responsibility;
research training grants in which the activities involving subjects
remain to be selected; and projects in which human subjects' involvement
will depend upon completion of instruments, prior animal studies, or
purification of compounds. These applications need not be reviewed by an
IRB before an award may be made. However, except for research exempted
or waived under Sec. 11.101 (b) or (i), no human subjects may be
involved in any project supported by these awards until the project has
been reviewed and approved by the IRB, as provided in this policy, and
certification submitted, by the institution, to the department or
agency.
Sec. 11.119 Research undertaken without the intention of involving human subjects.
In the event research is undertaken without the intention of
involving human subjects, but it is later proposed to involve human
subjects in the research, the research shall first be reviewed and
approved by an IRB, as provided in this policy, a certification
submitted, by the institution, to the department or agency, and final
approval given to the proposed change by the department or agency.
Sec. 11.120 Evaluation and disposition of applications and proposals for research to be conducted or supported by a Federal Department or Agency.
The department or agency head will evaluate all applications and
proposals involving human subjects submitted to the department or agency
through such officers and employees of the department or agency and such
experts and consultants as the department or agency head determines to
be appropriate. This evaluation will take into consideration the risks
to the subjects, the adequacy of protection against these risks, the
potential benefits of the research to the subjects and others, and
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the importance of the knowledge gained or to be gained.
(b) On the basis of this evaluation, the department or agency head
may approve or disapprove the application or proposal, or enter into
negotiations to develop an approvable one.
Sec. 11.121 [Reserved]
Sec. 11.122 Use of Federal funds.
Federal funds administered by a department or agency may not be
expended for research involving human subjects unless the requirements
of this policy have been satisfied.
Sec. 11.123 Early termination of research support: Evaluation of applications and proposals.
(a) The department or agency head may require that department or
agency support for any project be terminated or suspended in the manner
prescribed in applicable program requirements, when the department or
agency head finds an institution has materially failed to comply with
the terms of this policy.
(b) In making decisions about supporting or approving applications
or proposals covered by this policy the department or agency head may
take into account, in addition to all other eligibility requirements and
program criteria, factors such as whether the applicant has been subject
to a termination or suspension under paragarph (a) of this section and
whether the applicant or the person or persons who would direct or has/
have directed the scientific and technical aspects of an activity has/
have, in the judgment of the department or agency head, materially
failed to discharge responsibility for the protection of the rights and
welfare of human subjects (whether or not the research was subject to
Federal regulation).
Sec. 11.124 Conditions.
With respect to any research project or any class of research
projects the department or agency head may impose additional conditions
prior to or at the time of approval when in the judgment of the
department or agency head additional conditions are necessary for the
protection of human subjects.
PART 17--INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES--Table of Contents
Sec.
17.1 What is the purpose of these regulations?
17.2 What definitions apply to these regulations?
17.3 What programs and activities of the Department are subject to
these regulations?
17.4 [Reserved]
17.5 What is the Secretary's obligation with respect to Federal
interagency coordination?
17.6 What procedures apply to the selection of programs and activities
under these regulations?
17.7 How does the Secretary communicate with state and local officials
concerning the Department's programs and activities?
17.8 How does the secretary provide states an opportunity to comment on
proposed Federal financial assistance and direct Federal
development?
17.9 How does the Secretary receive and respond to comments?
17.10 How does the Secretary make efforts to accommodate
intergovernmental concerns?
17.11 What are the Secretary's obligations in interstate situations?
17.12 How may a state simplify, consolidate, or substitute federally
required state plans?
17.13 May the Secretary waive any provision of these regulations?
Authority: Executive Order 12372, July 14, 1982 (47 FR 30959), as
amended April 8, 1983 (48 FR 15887): sec. 401 of the Intergovernmental
Cooperation Act of 1968, as amended (31 U.S.C. 6506); sec. 204 of the
Demonstration Cities and Metropolitan Development Act of 1966, as
amended (42 U.S.C. 3334).
Source: 48 FR 29272, June 24, 1983, unless otherwise noted
Editorial Note: For additional information, see related documents
published at 47 FR 57369, December 23, 1982, 48 FR 17101, April 21,
1983, and 48 FR 29096, June 24, 1983.
Sec. 17.1 What is the purpose of these regulations?
(a) The regulations in this part implement Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' issued July 14, 1982,
and
[[Page 140]]
amended on April 8, 1983. These regulations also implement applicable
provisions of section 401 of the Intergovernmental Cooperation Act of
1968 and section 204 of the Demonstration Cities and Metropolitan
Development Act of 1966.
(b) These regulations are intended to foster an intergovernmental
partnership and a strengthened Federalism by relying on state processes
and on state, areawide, regional and local coordination for review of
proposed Federal financial assistance and direct Federal development.
(c) These regulations are intended to aid the internal management of
the Department, and are not intended to create any right or benefit
enforceable at law by a party against the Department or its officers.
Sec. 17.2 What definitions apply to these regulations?
Department means the U.S. Department of Transportation.
Order means Executive Order 12372, issued July 14, 1982, and amended
April 8, 1983, and titled ``Intergovernmental Review of Federal
Programs.''
Secretary means the Secretary of the U.S. Department of
Transportation or an official or employee of the Department acting for
the Secretary under a delegation of authority.
State means any of the 50 states, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, Guam, American Samoa, the U.S. Virgin Islands, or the Trust
Territory of the Pacific Islands.
Sec. 17.3 What programs and activities of the Department are subject to these regulations?
The Secretary publishes in the Federal Register a list of the
Department's programs and activities that are subject to these
regulations and identifies which of these are subject to the
requirements of section 204 of the Demonstration Cities and Metropolitan
Development Act.
Sec. 17.4 [Reserved]
Sec. 17.5 What is the Secretary's obligation with respect to Federal interagency coordination?
The Secretary, to the extent practicable, consults with and seeks
advice from all other substantially affected Federal departments and
agencies in an effort to assure full coordination between such agencies
and the Department regarding programs and activities covered under these
regulations.
Sec. 17.6 What procedures apply to the selection of programs and activities under these regulations?
(a) A state may select any program or activity published in the
Federal Register in accordance with Sec. 17.3 of this part for
intergovernmental review under these regulations. Each state, before
selecting programs and activities shall consult with local elected
officials.
(b) Each state that adopts a process shall notify the Secretary of
the Department's programs and activities selected for that process.
(c) A state may notify the Secretary of changes in its selections at
any time. For each change, the state shall submit to the Secretary an
assurance that the state has consulted with elected local elected
officials regarding the change. The Department may establish deadlines
by which states are required to inform the Secretary of changes in their
program selections.
(d) The Secretary uses a state's process as soon as feasible,
depending on individual programs, and activities, after the Secretary is
notified of its selections.
Sec. 17.7 How does the Secretary communicate with state and local officials concerning the Department's programs and activities?
(a) For those programs and activities covered by a state process
under Sec. 17.6, the Secretary, to the extent permitted by law:
(1) Uses the state process to determine views of state and local
elected officials; and,
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(2) Communicates with state and local elected officials, through the
state process, as early in a program planning cycle as is reasonably
feasible to explain specific plans and actions.
(b) The Secretary provides notice to directly affected state,
areawide, regional, and local entities in a state of proposed Federal
financial assistance or direct Federal development if:
(1) The state has not adopted a process under the Order; or
(2) The assistance or development involves a program or activity not
selected for the state process.
This notice may be made by publication in the Federal Register or other
appropriate means, which the Department in its discretion deems
appropriate.
Sec. 17.8 How does the Secretary provide states an opportunity to comment on proposed Federal financial assistance and direct Federal development?
(a) Except in unusual circumstances, the Secretary gives state
processes or state, areawide, regional and local officials and entities
at least:
(1) [Reserved]
(2) 60 days from the date established by the Secretary to comment on
proposed direct Federal development or Federal financial assistance.
(b) This section also applies to comments in cases in which the
review, coordination, and communication with the Department have been
delegated.
(c) Applicants for programs and activities subject to section 204 of
the Demonstration Cities and Metropolitan Act shall allow areawide
agencies a 60-day opportunity for review and comment.
Sec. 17.9 How does the Secretary receive and respond to comments?
(a) The Secretary follows the procedures in Sec. 17.10 if:
(1) A state office or official is designated to act as a single
point of contact between a state process and all federal agencies, and
(2) That office or official transmits a state process recommendation
for a program selected under Sec. 17.6.
(b)(1) The single point of contact is not obligated to transmit
comments from state, areawide, regional or local officials and entities
where there is no state process recommendation.
(2) If a state process recommendation is transmitted by a single
point of contact, all comments from state, areawide, regional, and local
officials and entities that differ from it must also be transmitted.
(c) If a state has not established a process, or is unable to submit
a state process recommendation, state, areawide, regional and local
officials and entities may submit comments either to the applicant or to
the Department.
(d) If a program or activity is not selected for a state process,
state, areawide, regional and local officials and entities may submit
comments either to the applicant or to the Department. In addition, if a
state process recommendation for a nonselected program or activity is
transmitted to the Department by the single point of contact, the
Secretary follows the procedures of Sec. 17.10 of this part.
(e) The Secretary considers comments which do not constitute a state
process recommendation submitted under these regulations and for which
the Secretary is not required to apply the procedures of Sec. 17.10 of
this part, when such comments are provided by a single point of contact,
by the applicant, or directly to the Department by a commenting party.