DOT 49 CFR PART 1001-2010 INSPECTION OF RECORDS.pdf

1、9 SUBCHAPTER AGENERAL RULES AND REGULATIONS Parts 10001019General Provisions PART 1000 RESERVED PART 1001INSPECTION OF RECORDS Sec. 1001.1 Records available from the Board. 1001.2 Certified copies of records. 1001.3 Requests to inspect other records not considered public under 5 U.S.C. 552. 1001.4 P

2、redisclosure notification procedures for confidential commercial information. AUTHORITY: 5 U.S.C. 552, 49 U.S.C. 702, and 49 U.S.C. 721. SOURCE: 62 FR 48954, Sept. 18, 1997, unless otherwise noted. 1001.1 Records available from the Board. (a) The following specific files and records in the custody o

3、f the Records Officer of the Surface Transportation Board are available to the public and may be inspected at the Boards office upon reasonable request during busi-ness hours (between 8:30 a.m. and 5 p.m., Monday through Friday): (1) Copies of tariffs and railroad transportation contract summaries f

4、iled with the Board pursuant to 49 U.S.C. 13702(b) and 10709(d), respec-tively. (2) Annual and other periodic reports filed with the Board pursuant to 49 U.S.C. 11145. (3) All docket files, which include documents of record in a proceeding. (4) File and index of instruments or documents recorded pur

5、suant to 49 U.S.C. 11301. (5) Surface Transportation Board Ad-ministrative Issuances. (b) The following records, so-called reading room documents, are avail-able for inspection and copying at the Boards office: (1) Final decisions, including concur-ring and dissenting opinions, as well as orders, ma

6、de in the adjudication of cases; (2) Those statements of policy and in-terpretations that have been adopted by the agency and are not published in the FEDERAL REGISTER; (3) Administrative staff manuals and instructions to staff that affect a mem-ber of the public; and (4) Copies of all records, rega

7、rdless of form or format, that have been re-leased to any person under 5 U.S.C. 552(a)(3) and that, because of the na-ture of their subject matter, the agen-cy determines have become or are like-ly to become the subject of subsequent requests for substantially the same records. (c) The Board maintai

8、ns, and makes available for inspection and copying, indexes of the documents described in paragraph (b) of this section. Final de-cisions are indexed in the Surface Transportation Board Daily Releases, which is issued by the Board every working day. This document also ex-plains how copies of decisio

9、ns can be purchased. The remaining documents are indexed as they are made available. (d) Documents described in paragraph (b) of this section that were created on and after November 1, 1996, are indexed by service date or date of issuance and are available for viewing and downloading from the Boards

10、 Elec-tronic Reading Room at www.stb.dot.gov, the Boards website. Final decisions are maintained in a database that is full text searchable. 64 FR 47711, Sept. 1, 1999, as amended at 74 FR 52902, Oct. 15, 2009 1001.2 Certified copies of records. Copies of and extracts from public records will be cer

11、tified by the Records Officer. Persons requesting the Board to prepare such copies should clearly state the material to be copied, and whether it shall be certified. Charges will be made for certification and for the preparation of copies as provided in part 1002 of this chapter. 74 FR 52903, Oct. 1

12、5, 2009 VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00019 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-10 49 CFR Ch. X (10110 Edition) 1001.3 1001.3 Request

13、s to inspect other records not considered public under 5 U.S.C. 552. Requests to inspect records other than those now deemed to be of a pub-lic nature shall be in writing and ad-dressed to the Freedom of Information Officer (Officer). The Officer shall de-termine within 10 days of receipt of a reque

14、st (excepting Saturdays, Sundays, and legal public holidays) whether a re-quested record will be made available. If the Officer determines that a request cannot be honored, the Officer must in-form the requesting party in writing of this decision and such letter shall con-tain a detailed explanation

15、 of why the requested material cannot be made available and explain the requesting partys right of appeal. If the Officer rules that such records cannot be made available because they are exempt under the provisions of 5 U.S.C. 552(b), an appeal from such ruling may be ad-dressed to the Chairman. Th

16、e Chair-mans decision shall be administra-tively final and state the specific ex-emption(s) contained in 5 U.S.C. 552(b) relied upon for denial. Such an appeal must be filed within 30 days of the date of the Freedom of Information Officers letter. The Chairman shall act in writ-ing on such appeals w

17、ithin 20 days (ex-cepting Saturdays, Sundays, and legal public holidays) of receipt of any ap-peal. In unusual circumstances, as set forth in 5 U.S.C. 552(a)(6)(B), the time limit may be extended, by written no-tice to the person making the par-ticular request, setting forth the rea-sons for such ex

18、tension, for no more than 10 working days. If the appeal is denied, the Chairmans order shall no-tify the requesting party of his or her right to judicial review. Charges shall be made as provided for in 1002.1(f) of this chapter. 1001.4 Predisclosure notification pro-cedures for confidential commer

19、cial information. (a) In general. Confidential commer-cial information provided to the Inter-state Commerce Commission or the Board shall not be disclosed pursuant to a Freedom of Information Act (FOIA) request except in accordance with this section. For such purposes, the following definitions appl

20、y: (1) Confidential commercial information means records provided to the govern-ment by a submitter that arguably contain material exempt from release under Exemption 4 of the Freedom of Information Act, 5 U.S.C. 552(b)(4), be-cause disclosure could reasonably be expected to cause substantial compet

21、i-tive harm. (2) Submitter means any person or en-tity who provides confidential commer-cial information to the government. The term submitter includes, but is not limited to, corporations, state gov-ernments, and foreign governments. (b) Notice to submitters. Except as pro-vided in paragraph (g) of

22、 this section, the Board, to the extent permitted by law, shall provide a submitter with prompt written notice, in accordance with paragraph (c) of this section, of receipt of an FOIA request encom-passing its submissions. This notice shall either describe the exact nature of the information request

23、ed or provide copies of the records themselves. (c) When notice is required. Notice shall be given to a submitter whenever: (1) The Board has reason to believe that disclosure of the information could reasonably be expected to cause substantial competitive harm; or (2) The information has been des-i

24、gnated, in good faith by the submitter, as confidential commercial informa-tion at the time of submission or with-in a reasonable time thereafter. When-ever possible, the submitters claim of confidentiality shall be supported by a statement or certification by an officer or authorized representative

25、 of the company that the information in ques-tion is in fact confidential commercial information and has not been disclosed to the public. (d) Opportunity to object to disclosure. (1) Through the notice described in paragraph (b) of this section, the Board shall afford a submitter a reasonable perio

26、d of time in which to provide it with a detailed statement of any objec-tion to disclosure. Such statement shall specify all grounds for with-holding the requested information. (2) When notice is given to a sub-mitter under this section, the Board also shall notify the requester that it has been pro

27、vided. VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00020 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-11 Surface Transportation Board, DOT 1002.1 (e) Notice

28、 of intent to disclose. (1) The Board shall consider carefully a sub-mitters objections and specific grounds for nondisclosure prior to its determination whether or not to dis-close the requested information. When-ever the Board decides to disclose the information over a submitters objec-tion, it sh

29、all provide the submitter with written notice containing the fol-lowing: (i) A description or copy of the infor-mation to be disclosed; (ii) The reasons why the submitters disclosure objections were not sus-tained; and (iii) A specific disclosure date, which shall be a reasonable number of days afte

30、r the notice of intent to disclose has been mailed to the submitter. (2) At the same time that notice of intent to disclose is given to a sub-mitter, the Board shall notify the re-quester accordingly. (f) Notice of lawsuit. (1) Whenever an FOIA requester brings legal action seeking to compel disclos

31、ure of con-fidential commercial information, the Board shall promptly notify the sub-mitter. (2) Whenever a submitter brings legal action seeking to prevent disclosure of confidential commercial information, the Board shall promptly notify the re-quester. (g) Exception to notice requirement. The not

32、ice requirements of this section shall not apply if: (1) The Board determines that the in-formation requested should not be dis-closed; or (2) The information already has been published or otherwise officially made available to the public; or (3) Disclosure of the information is required by law (oth

33、er than 5 U.S.C. 552); or (4) Disclosure is required by a Board rule that: (i) Was adopted pursuant to notice and public comment; (ii) Specifies narrow classes of records submitted to the Board that are to be released; and (iii) Provides in exceptional cir-cumstances for notice when the sub-mitter p

34、rovides written justification, at the time the information is sub-mitted or within a reasonable time thereafter, that disclosure of the infor-mation could reasonably be expected to cause substantial competitive harm; or (5) The information requested was not designated by the submitter as ex-empt fro

35、m disclosure, when the sub-mitter had an opportunity to do so at the time of submission or within a rea-sonable time thereafter, unless the Board has reason to believe that disclo-sure of the information could reason-ably be expected to cause substantial competitive harm; or (6) The designation made

36、 by the sub-mitter in accordance with these regula-tions appears obviously frivolous; in such case, the Board must provide the submitter only with written notice of any administrative disclosure deter-mination within a reasonable number of days prior to the specified disclosure date. PART 1002FEES S

37、ec. 1002.1 Fees for records search, review, copy-ing, certification, and related services. 1002.2 Filing fees. 1002.3 Updating user fees. AUTHORITY: 5 U.S.C. 552(a)(4)(A) and 553; 31 U.S.C. 9701; and 49 U.S.C. 721. Section 1002.1(g)(11) also issued under 5 U.S.C. 5514 and 31 U.S.C. 3717. 1002.1 Fees

38、 for records search, re-view, copying, certification, and re-lated services. Certifications and copies of such tar-iffs, reports and other public records and documents on file with the Surface Transportation Board as may be prac-ticable to furnish, as well as searches and copying of records not cons

39、idered public under the Freedom of Informa-tion Act (5 U.S.C. 552), will be furnished on the following basis: (a) Certificate of the Records Officer, $17.00. (b) Service involved in examination of tariffs or schedules for preparation of certified copies of tariffs or sched-ules or extracts therefrom

40、 at the rate of $41.00 per hour. (c) Service involved in checking records to be certified to determine au-thenticity, including clerical work, etc., identical thereto, at the rate of $28.00 per hour. VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00021 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-