[Federal Register Volume 62, Number 84 (Thursday, May 1, 1997)]
[Rules and Regulations]
[Pages 23666-23667]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-11305]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

49 CFR Part 10

RIN 2105-AC57


Maintenance of and Access to Records Pertaining to Individuals

AGENCY: Office of the Secretary, DOT.

ACTION: Final rule.

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SUMMARY: DOT revises its regulations in implementing the Privacy Act, 5 
U.S.C. 552a. This revision updates organizational changes since the 
last revision and streamlines the regulations in order to make the 
regulations more useful.

DATES: This rule is effective June 30, 1997.

FOR FURTHER INFORMATION CONTACT: Dorothy A. Chambers, Office of the 
General Counsel, C-12, Department of Transportation, Washington, DC 
20590, telephone (202) 366-4542, FAX (202) 366-7152.
SUPPLEMENTARY INFORMATION: The President instituted a Regulatory Review 
initiative, for the reinvention of regulations by eliminating 
duplicate, redundant or unnecessary language and revising regulations 
to meet the need of users. In response to this initiative, we reviewed 
Part 10 and proposed to revise this section to update and streamline 
information on maintenance and access to records pertaining to 
individuals. The main revision is to remove from the Code of Federal 
Regulations Appendices B through J to this part and remove references 
to the appendices throughout the Part. These appendices contain 
information that is available through the Notice of Records Systems 
published by the Federal Register, National Archives and Records 
Administration, which describes the systems of records maintained by 
all Federal agencies, including the Department and its components. 
Therefore, it is unnecessary to repeat this information in the 
regulations. Several other housekeeping corrections were also made. 
Public comment was invited (61 FR 29522; June 11, 1996), but none was 
received. Upon review, we have decided to issue the proposal without 
change, except to reflect that the Inspector General has the same 
authority under this part as does any Administrator; and that the 
Surface Transportation Board (STB), a successor to the Interstate 
Commerce Commission within DOT, is not covered by these Privacy Act 
regulations, but, rather, by its own, except to the extent that any 
system of records notice provides otherwise. That is, if the STB is 
included in a DOT system of records, then these regulations apply to 
that system, including STB's participation in it.

Analysis of Regulatory Impacts.

    This amendment is not a ``significant regulatory action'' within 
the meaning of Executive Order 12866. It is also not significant within 
the definition in DOT's Regulatory Policies and Procedures, 49 FR 11034 
(1979), in part because it does not involve any change in important 
Departmental policies. Because the economic impact should be minimal, 
further regulatory evaluation is not necessary.
    Under the Regulatory Flexibility Act, the only group of persons who 
will be directly affected by this amendment are those members of the 
public who are the subjects of any of our Privacy Act systems of 
records. These qualify as small entities and will have burdens lessened 
by this amendment, as the effect of the amendment will be to make our 
Privacy Act regulations easier to understand; however, it is not likely 
that any such burden reduction will be large nor that it will be 
convertible into economic equivalents. Hence, I certify that this 
amendment will not have a significant economic impact on a substantial 
number of small entities.
    This amendment does not significantly affect the environment, and 
therefore an environmental impact statement is not required under the 
National Environmental Policy Act of 1969. It has also been reviewed 
under Executive Order 12612, Federalism, and it has been determined 
that it does not have sufficient implications for federalism to warrant 
preparation of a Federalism Assessment.
    Finally, the amendment does not contain any collection of 
information requirements, requiring review under the Paperwork 
Reduction Act, as amended.

List of Subjects in 49 CFR Part 10

    Privacy.

    In accordance with the above, DOT amends 49 CFR Part 10 as follows:

PART 10--[AMENDED]

    1. The authority citation for Part 10 continues to read as follows:

    Authority: 5 U.S.C. 552a; 49 U.S.C. 322.


Sec. 10.1  [Amended]

    2. Section 10.1 is amended by deleting paragraphs (b), (c), and 
(d), and by removing the paragraph designation ``(a)'' from the 
remaining text.

[[Page 23667]]

    3. In Sec. 10.5, within the definition of Department, the 
introductory text and paragraph (f) are revised, and a new paragraph 
(i) is added at the end to read as follows:


Sec. 10.5  Definitions.

* * * * *
    Department means the Department of Transportation, including the 
Office of the Secretary, the Office of Inspector General, and the 
following operating administrations: This definition specifically 
excludes the Surface Transportation Board, which has its own Privacy 
Act regulations (49 CFR Part 1007), except to the extent that any 
system of records notice provides otherwise.
* * * * *
    (f) Federal Transit Administration.
* * * * *
    (i) Bureau of Transportation Statistics.
    4. In Sec. 10.11, the first sentence is revised to read as follows:


Sec. 10.11  Administration of 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.
* * * * *
    5. In Sec. 10.23 the introductory text is revised to read as 
follows:


Sec. 10.23  Accounting of disclosures.

    Each operating administration, the Office of Inspector General, and 
the Office of the Secretary, with respect to each system of records 
under its control:
* * * * *
    6. In Sec. 10.31, paragraph (a) is revised to read as follows:


Sec. 10.31  Requests for records.

    (a) Ordinarily, each person desiring to determine whether a record 
pertaining to him/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 
addressed to the system manager. The ``Privacy Act Issuances'' 
published by the Office of the Federal Register, National Archives and 
Records Administration, describes the systems of records maintained by 
all Federal agencies, including the Department and its components. In 
exceptional cases oral requests are accepted. A description of DOT 
Privacy Act systems notices is available through the Internet free of 
charge at http://www.access.gpo.gov/su_docs/aces/PrivacyAct. 
shtml?desc015.html. See Sec. 10.13(b) regarding inquiries concerning 
Privacy Act matters or requests for assistance.
* * * * *
    7. In Sec. 10.35, paragraph (a) introductory text is revised and 
paragraph (a)(12) is added to read as follows:


Sec. 10.35  Conditions of disclosure.

    (a) No record that is contained within a system of records of 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:
* * * * *
    (12) To a consumer reporting agency in accordance with 31 U.S.C. 
3711(f).
* * * * *
    8. In Sec. 10.37, the last sentence is revised to read as follows:


Sec. 10.37  Identification of individual making request.

* * * * *
    In such cases, these additional requirements are listed in the 
public notice for the system.
    9. Section 10.39 is revised to read as follows:


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. 
Original records may be copied but may not be released from custody. 
Upon payment of the appropriate fee, copies are mailed to the 
requester.
    10. Section 10.41 is revised to read as follows:


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 to the System Manager.
    11. In Sec. 10.51, paragraphs (c) and (h) are revised, to read as 
follows:


Sec. 10.51  General.

* * * * *
    (c) Each application for review must be made in writing and must 
include all information and arguments relied upon by the person making 
the request, and be submitted within 30 days of the date of the initial 
denial; exceptions to this time period are permitted for good reason.
* * * * *
    (h) Any final decision by an Administrator or his/her delegate not 
to grant access to or amend a record under this part is subject to 
concurrence by the General Counsel or his or her delegate.
    12. In Sec. 10.63 introductory text is revised to read as follows:


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 deluge, in the case of an 
operating administration; or the Inspector General or his or her 
deluge, in the case of the Office of Inspector General, may exempt any 
system of records that is maintained by the Office of the Secretary, an 
operating administration, or the Office of Inspector General, 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), under the 
following conditions:
* * * * *
    13. ``Appendix A to part 10'' is redesignated as ``Appendix to part 
10''.
    14. Appendices B through J are removed.

    Issued in Washington, DC, on March 24, 1997.
Rodney E. Slater,
Secretary of Transportation.
[FR Doc. 97-11305 Filed 4-30-97; 8:45 am]
BILLING CODE 4910-62-P