DOT 49 CFR PART 7-2010 PUBLIC AVAILABILITY OF INFORMATION.pdf

1、59 Office of the Secretary of Transportation Pt. 7 identify the information sought or the disputed issues and shall explain why the additional proceedings are nec-essary to resolve the issues. 6.33 Decision. The administrative law judge shall issue an initial decision on the applica-tion as soon as

2、possible after comple-tion of proceedings on the application. The decision shall also include, if at issue, findings on whether the Depart-ments position was substantially jus-tified, whether the applicant unduly protracted the proceedings, or whether special circumstances make an award unjust. If t

3、he applicant has sought an award against more than one agency, the decision shall allocate responsi-bility for payment or any award made among the agencies, and shall explain the reasons for the allocation made. 6.35 Agency review. Where Department review of the un-derlying decision is permitted, ei

4、ther 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 appli-cant nor the agency counsel seeks re-view within 30 days after the decision is issued, it shall become

5、 final. 6.37 Judicial review. Judicial review of final agency deci-sions on awards may be sought as pro-vided in 5 U.S.C. 504(c)(2). 6.39 Payment of award. An applicant seeking payment of an award from the Department of Trans-portation or any of its operating ad-ministrations under this part shall s

6、ub-mit a copy of the Department of Trans-portations or any of its operating ad-ministrations final decisions granting the award, accompanied by a state-ment 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 submi

7、tted to the head of the affected operating administration or the Secretary of Transportation, where the Department of Transportation, Office of the Sec-retary, has initiated the proceedings. PART 7PUBLIC AVAILABILITY OF INFORMATION Subpart AGeneral Provisions Sec. 7.1 General. 7.2 Definitions. Subpa

8、rt BInformation Required To Be Made Public by DOT 7.3 Publication in the FEDERAL REGISTER. 7.4 Publication required. 7.5 Availability of opinions, orders, staff manuals, statements of policy, and inter-pretations and indices. 7.6 Deletion of identifying detail. 7.7 Access to materials and indices. 7

9、.8 Copies. 7.9 Protection of records. 7.10 Public records. Subpart CAvailability of Reasonably De-scribed Records Under the Freedom of Information Act 7.11 Applicability. 7.12 Administration of subpart. 7.13 Records available. 7.14 Requests for records. 7.15 Contacts for records requested under the

10、FOIA. 7.16 Requests for records of concern to more than one government organization. 7.17 Consultation with submitters of com-mercial and financial information. Subpart DProcedures for Appealing De-cisions Not To Disclose Records and/or Waive Fees 7.21 General. Subpart ETime Limits 7.31 Initial dete

11、rminations. 7.32 Final determinations. 7.33 Extension. Subpart FFees 7.41 General. 7.42 Payment of fees. 7.43 Fee schedule. 7.44 Services performed without charge or at a reduced charge. 7.45 Transcripts. 7.46 Alternative sources of information. AUTHORITY: 5 U.S.C. 552; 31 U.S.C. 9701; 49 U.S.C. 322

12、; E.O. 12600, 3 CFR, 1987 Comp., p. 235. SOURCE: Amdt. 1, 63 FR 38331, July 16, 1998, unless otherwise noted. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00069 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or n

13、etworking permitted without license from IHS-,-,-60 49 CFR Subtitle A (10110 Edition) 7.1 Subpart AGeneral Provisions 7.1 General. (a) This part implements 5 U.S.C. 552, and prescribes rules governing the availability to the public of DOT records. Many documents are made available to the public for

14、inspection and copying through DOTs Primary Electronic Access Facility and public record unit locations that are discussed in subpart B of this part, which con-tains the DOT regulations concerning the availability to the public of opin-ions issued in the adjudication of cases, policy issuances, admi

15、nistrative manu-als, and other information made avail-able to the public, without need for a specific request. (b) Subpart C of this part describes the records that are not required to be disclosed on DOTs own action under this part, but that may be available upon request under FOIA. (c) Indices are

16、 maintained to reflect all records subject to subpart B of this part, and are available for public in-spection and copying as provided in subpart B. 7.2 Definitions. Unless the context requires other-wise, the following definitions apply in this part: Act and FOIA mean the Freedom of Information Act

17、, 5 U.S.C. 552, as amended. Administrator means the head of each component of DOT and includes the Under Secretary for Security, the Com-mandant of the Coast Guard, the In-spector General, and the Director of the Bureau of Transportation Statis-tics. Concurrence means that the approval of the person

18、 being consulted is re-quired in order for the subject action to be taken. Consultation means that the approval of the person being consulted is not re-quired in order for the subject action to be taken. Department means the Department of Transportation, including the Office of the Secretary, the Of

19、fice of Inspector General, and the following DOT Oper-ating Administrations, all of which may be referred to as DOT components. Means of contacting each of these DOT components appear in 7.15. This defi-nition specifically excludes the Surface Transportation Board, which has its own FOIA regulations

20、 (49 CFR Part 1001): (1) Federal Aviation Administration, (2) Federal Highway Administration, (3) Federal Motor Carrier Safety Ad-ministration, (4) Federal Railroad Administration, (5) National Highway Traffic Safety Administration, (6) Federal Transit Administration, (7) Saint Lawrence Seaway Devel

21、op-ment Corporation, (8) Maritime Administration, (9) Pipeline and Hazardous Materials Safety Administration, and (10) Research and Innovative Tech-nology Administration. Primary Electronic Access Facility means the electronic docket facility in the DOT Headquarters Building, 1200 New Jersey Avenue,

22、 SE., Washington, DC 20590. Reading room records are those records required to be made available to the public under 5 U.S.C. 552(a)(2) as described in 7.5 of Subpart B of this part. These records are made available through DOTs Primary Electronic Ac-cess Facility. Other records may also be made ava

23、ilable at DOTs discretion at DOT inspection facilities, including DOTs Primary Electronic Access Fa-cility. 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 documen-tary mate

24、rial stored by computer. Responsible DOT official means the head of the DOT component concerned, or the General Counsel or the Inspector General, as the case may be, or the des-ignee of any of them, authorized to take an action under this part. Secretary means the Secretary of Transportation or any

25、person to whom the Secretary has delegated authority in the matter concerned. Amdt. 1, 63 FR 38331, July 16, 1998, as amend-ed at 67 FR 54746, Aug. 26, 2002; 73 FR 33328, June 12, 2008; 75 FR 5244, Feb. 2, 2010 VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00070 Fmt 8010 Sfmt 8010 Y:SGM

26、L220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-61 Office of the Secretary of Transportation 7.5 Subpart BInformation Required To Be Made Public by DOT 7.3 Publication in the Federal Reg-ister. This

27、 section implements 5 U.S.C. 552(a)(1), and prescribes rules governing publication in the FEDERAL REGISTER of the following: (a) Descriptions of DOTs organiza-tion, including its DOT components and the established places at which, the officers from whom, and the meth-ods by which, the public may sec

28、ure in-formation and make submittals or ob-tain decisions; (b) Statements of the general course and methods by which DOTs functions are channeled and determined, includ-ing the nature and requirements of all formal and informal procedures avail-able; (c) Rules of procedure, descriptions of forms ava

29、ilable or the places at which forms may be obtained, and instruc-tions as to the scope and contents of all papers, reports, or examinations; (d) Substantive rules of general ap-plicability adopted as authorized by law and statements of general policy or interpretations of general applicability formu

30、lated and adopted by DOT; and (e) Each amendment, revision, or re-peal of any material listed in para-graphs (a) through (d) of this section. 7.4 Publication required. (a) General. The material described in 7.3 will be published in the FEDERAL REGISTER. For the purposes of this paragraph, material t

31、hat will reason-ably 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 with the approval of the Director of the Federal Register. (b) Effect of nonpublication. Except to the extent that he/she has a

32、ctual and timely notice of the terms thereof, a person may not in any manner be re-quired to resort to, or be adversely af-fected by, any procedure or matter re-quired to be published in the FEDERAL REGISTER, but not so published. 7.5 Availability of opinions, orders, staff manuals, statements of po

33、licy, and interpretations and indices. (a) This section implements 5 U.S.C. 552(a)(2). It prescribes the rules gov-erning the availability for public in-spection and copying of the following reading room materials: (1) Any final opinion (including a concurring or dissenting opinion) or order made in

34、 the adjudication of a case. (2) Any policy or interpretation that has been adopted under DOT authority, including any policy or interpretation concerning a particular factual situa-tion, if that policy or interpretation can reasonably be expected to have precedential value in any case involv-ing a

35、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, re-quires or limits any action of any member of the public or prescr

36、ibes 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 inter-nal operating rules, practices, guide-lines, and procedures for DOT inspec-tors, investigators, law enforcement of-ficers, examiners, aud

37、itors, and nego-tiators and other information devel-oped predominantly for internal use, the release of which could significantly risk circumvention of agency regula-tions or statutes. (4) Copies of all records, regardless of form or format, that have been re-leased to any person under subpart C of

38、this part and which, because of the na-ture of their subject matter, a DOT component determines have become or are likely to become the subject of sub-sequent requests for substantially the same records. (5) A general index of the records list-ed in this paragraph. (b) Any material listed in paragra

39、ph (a) of this section that is not made available for public inspection and copying, or that is not indexed as re-quired by 7.7, may not be cited, relied VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00071 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvi

40、ded by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-62 49 CFR Subtitle A (10110 Edition) 7.6 on, or used as precedent by DOT to af-fect any member of the public ad-versely unless the person to whose det-riment it is relied on, used, or cited has had actual ti

41、mely notice of the mate-rial. (c) This section does not apply to ma-terial that is published in the FEDERAL REGISTER or covered by subpart C of this part. 7.6 Deletion of identifying detail. Whenever it is determined to be nec-essary to prevent a clearly unwar-ranted invasion of personal privacy, id

42、entifying details will be deleted from any record covered by this subpart that is published or made available for in-spection. Whenever it is determined to be necessary to prevent the disclosure of information required or authorized to be withheld by another Federal stat-ute, such information shall

43、be deleted from any record covered by this sub-part that is published or made avail-able for inspection. A full explanation of the justification for the deletion will accompany the record published or made available for inspection. 7.7 Access to materials and indices. (a) Except as provided in parag

44、raph (b) of this section, material listed in 7.5 will be made available for inspec-tion and copying to any member of the public at DOT document inspection fa-cilities. It has been determined that it is unnecessary and impracticable to publish the index of materials in the FEDERAL REGISTER. Informati

45、on as to the kinds of materials available at each facility may be obtained from the facility or the headquarters of the DOT component of which it is a part. (b) The material listed in 7.5 that is published and offered for sale will be indexed, but is not required to be kept available for public insp

46、ection. When-ever practicable, however, it will be made available for public inspection at the appropriate DOT reading room. (c) Each DOT component will also make the reading room records identi-fied in section 7.5(a) that are created by DOT on or after November 1, 1996, available electronically. Th

47、is includes indices of its reading room records as required by law after December 1, 1999. 7.8 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 Docket Offices listed in 7.10. Cop-ies will be

48、 certified upon request and payment of the fee prescribed in 7.43(f). 7.9 Protection of records. (a) Records made available for in-spection and copying may not be re-moved, altered, destroyed, or muti-lated. (b) 18 U.S.C. 641 provides for criminal penalties for embezzlement or theft of government re

49、cords. (c) 18 U.S.C. 2071 provides for crimi-nal penalties for the willful and unlaw-ful concealment, mutilation or de-struction of, or the attempt to conceal, mutilate, or destroy, government records. 7.10 Public records. Publicly available records are lo-cated in DOTs Primary Electronic Ac-cess Facility at 1200 New Jersey Ave-nue, SE., Washington, DC 20590. (a) The Primary Electronic Access Facility maintains materials for the Office