DOT 49 CFR PART 10-2010 MAINTENANCE OF AND ACCESS TO RECORDS PERTAINING TO INDIVIDUALS.pdf

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1、86 49 CFR Subtitle A (10110 Edition) 9.17 one least burdensome to the Depart-ment that will provide the needed in-formation, will be permitted for each witness. (b) The party seeking the testimony shall include with its request for testi-mony a copy of any prior request(s) made by the same requester

2、 to the De-partment or other agency of the United States for records pertaining to the matter being litigated and of the re-sponse (not including the records them-selves) to the request(s). The party seeking the testimony shall also com-ply with any agency counsel request that copies of the records

3、previously disclosed by the Department, or a list of those records, be furnished. (c) In accordance with the require-ment of this section and the general provisions of this part, agency counsel shall notify the requester of the ap-proval or denial of the request. Agency counsel may attach special co

4、nditions to its approval. 9.17 Legal proceedings between pri-vate litigants: Procedures for tak-ing testimony. (a) Testimony of an employee of the Department may be taken only at the office to which the employee is as-signed, or any other place designated by agency counsel. Additional condi-tions ma

5、y be specified under 9.15(c) of this part. The time shall be reasonably fixed to avoid substantial interference with the performance of the employees or agency counsels official duties. (b) Upon completion of the testimony of an employee of the Department, a copy of the transcript of the testimony s

6、hall be furnished, at the expense of the party requesting the testimony, to agency counsel for the Departments files. 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

7、 if served upon the Sec-retary or the head of the operating ad-ministration concerned, as the case may be. The official accepting service under this section shall acknowledge the service and take appropriate ac-tion. This section does not in any way abrogate or modify the requirements of Rule 4(d)(4

8、) and 4(d)(5) of the Federal Rules of Civil Procedure regarding service of summons and complaint. PART 10MAINTENANCE OF AND ACCESS TO RECORDS PER-TAINING TO INDIVIDUALS Subpart AApplicability and Policy Sec. 10.1 Applicability. 10.3 Policy. 10.5 Definitions. Subpart BGeneral 10.11 Administration of

9、part. 10.13 Privacy Officer. 10.15 Protection of records. Subpart CMaintenance of Records 10.21 General. 10.23 Accounting of disclosures. 10.25 Mailing lists. 10.27 Government contractors. 10.29 Social Security numbers. Subpart DAvailability of Records 10.31 Requests for records. 10.33 Acknowledgmen

10、t and access. 10.35 Conditions of disclosure. 10.37 Identification of individual making re-quest. 10.39 Location of records. Subpart ECorrection of Records 10.41 Requests for correction of records. 10.43 Time limits. 10.45 Statement of disagreement. Subpart FProcedures for Reconsidering Decisions No

11、t To Grant Access to or Amend Records 10.51 General. Subpart GExemptions 10.61 General exemptions. 10.63 Specific exemptions. Subpart HFees 10.71 General. 10.73 Payment of fees. 10.75 Fee schedule. 10.77 Services performed without charge. Subpart ICriminal Penalties 10.81 Improper disclosure. 10.83

12、Improper maintenance of records. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00096 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-87 Office of the Secretary o

13、f Transportation 10.5 10.85 Wrongfully obtaining records. APPENDIX TO PART 10EXEMPTIONS AUTHORITY: 5 U.S.C. 552a; 49 U.S.C. 322. SOURCE: 45 FR 8993, Feb. 11, 1980, unless otherwise noted. Subpart AApplicability and Policy 10.1 Applicability. This part implements section 552a of title 5, United State

14、s Code, as well as other provisions of the Privacy Act of 1974, and prescribes rules governing the availability of those records of the De-partment of Transportation which re-late to citizens of the United States and aliens lawfully admitted for per-manent residence. 45 FR 8993, Feb. 11, 1980, as am

15、ended at 62 FR 23666, May 1, 1997 10.3 Policy. It is the policy of the Department of Transportation to comply with the let-ter and the spirit of the Privacy Act (the Act). Therefore, personal data con-tained in each system of records is af-forded adequate protection against un-authorized access, is

16、as accurate as is feasible, and is limited to that nec-essary to accomplish the stated use or uses of the system. Further, no system of records is exempted from the re-quirements of the Act unless it is de-termined that to do so is in the best in-terest of the government with due con-cern for indivi

17、dual rights. 10.5 Definitions. Unless the context requires other-wise, the following definitions apply in this part: Administrator means the head of an operating administration and includes the Under Secretary for Security and the Commandant of the Coast Guard. Department means the Department of Tra

18、nsportation, including the Office of the Secretary, the Office of Inspector General, and the following operating administrations: This definition spe-cifically excludes the Surface Trans-portation Board, which has its own Pri-vacy Act regulations (49 CFR Part 1007), except to the extent that any sys

19、-tem of records notice provides other-wise. (1) Federal Aviation Administration. (2) Federal Highway Administration. (3) Federal Motor Carrier Safety Ad-ministration. (4) Federal Railroad Administration. (5) Federal Transit Administration. (6) National Highway Traffic Safety Administration. (7) St.

20、Lawrence Seaway Develop-ment Corporation. (8) Pipeline and Hazardous Materials Safety Administration. (9) Research and Innovative Tech-nology Administration. (10) Maritime Administration. General Counsel means the General Counsel of the Department. Includes means includes but is not limited to; Indi

21、vidual means a citizen of the United States or an alien lawfully ad-mitted; 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 in

22、di-vidual that is maintained by the De-partment including, but not limited to, education, financial transactions, med-ical history, and criminal or employ-ment history and that contains the name of, or an identifying number, symbol, or other identifying particular assigned to, the individual, such a

23、s 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

24、 the individual or by some identifying number, sym-bol, or other identifying particular as-signed to the individual; Statistical record means a record in a system of records maintained for sta-tistical research or reporting purposes only and not in whole or in part in making any determination about

25、an identifiable individual, except as pro-vided by section 8 of title 13, United States Code; and Routine use means, with respect to the disclosure of a record, the use of VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00097 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1

26、PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-88 49 CFR Subtitle A (10110 Edition) 10.11 such record for a purpose which is com-patible with the purpose for which it was collected. 45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667,

27、May 1, 1997; 65 FR 48184, Aug. 7, 2000; 67 FR 54746, Aug. 26, 2002; 73 FR 33329, June 12, 2008 Subpart BGeneral 10.11 Administration of part. Authority to administer this part in connection with the records of the Of-fice of the Secretary is delegated to the Chief Information Officer. Authority to a

28、dminister this part in connection with records in each operating administra-tion is delegated to the Administrator concerned. An Administrator may re-delegate to officers of that administra-tion the authority to administer this part in connection with defined sys-tems of records. An Administrator, h

29、owever, may redelegate his or her du-ties under subparts F and G of this part only to his or her deputy and to not more than one other officer who re-ports directly to the Administrator and who is located at the headquarters of that administration or at the same lo-cation as the majority of that adm

30、inis-trations systems of records. 45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997; 73 FR 33329, June 12, 2008 10.13 Privacy Officer. (a) To assist with implementation, evaluation, and administration issues, the Chief Information Officer appoints a principal coordinating official wi

31、th the title Privacy Officer, and one Pri-vacy Act Coordinator from his/her staff. (b) Inquiries concerning Privacy Act matters, or requests for assistance, may be addressed to the Privacy Act Officer (S80), Department of Transpor-tation, 1200 New Jersey Avenue, SE., Washington, DC 20590. (c) Admini

32、strators may designate Privacy Officers or Coordinators to act as central coordinators within their ad-ministrations to assist them in admin-istering the Act. 73 FR 33329, June 12, 2008 10.15 Protection of records. (a) No person may, without permis-sion, remove any record made available for inspecti

33、on or copying under this part from the place where it is made available. In addition, no person may steal, alter, mutilate, obliterate, or de-stroy, in whole or in part, such a record. (b) Section 641 of title 18 of the United States Code provides, in perti-nent part, as follows: Whoever*steals, pur

34、loins, or know-ingly converts to his use or the use of an-other, 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

35、value of such prop-erty 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 perti-nent part, as follows: Whoever willfully and unlawfully conceals, removes, mutilate

36、s, obliterates, or destroys, or attempts to do so, or with intent to do so takes and carries away any record, pro-ceeding, 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 imp

37、risoned not more than 3 years, or both. Subpart CMaintenance of Records 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 a

38、n individual as is relevant and necessary to accomplish a purpose of the Department required to be accomplished by statute or by exec-utive order of the President; (b) Collects information to the great-est extent practicable directly from the subject individual when the infor-mation may result in ad

39、verse deter-minations about an individuals rights, benefits, or privileges under Federal programs; VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00098 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking p

40、ermitted without license from IHS-,-,-89 Office of the Secretary of Transportation 10.23 (c) Informs each individual whom it asks to supply information, on the form which it uses to collect the infor-mation or on a separate form that can be retained by the individual of: (1) The authority (whether g

41、ranted by statute, or by executive order of the President) which authorizes the solici-tation of the information and whether disclosure of such information is man-datory or voluntary; (2) The principal purpose or purposes for which the information is intended to be used; (3) The routine uses, as pub

42、lished pursuant to paragraph (d)(4) of this sec-tion, which may be made of the infor-mation; and (4) The effects, if any, on the indi-vidual of not providing all or any part of the requested information; (d) Publishes in the FEDERAL REG-ISTER at least annually a notice of the existence and character

43、 of the system of records, including: (1) The name and location of the sys-tem; (2) The categories of individuals on whom records are maintained in the system; (3) The categories of records main-tained in the system; (4) Each routine use of the records contained in the system, including the categori

44、es of users and the purpose of such use; (5) The policies and practices regard-ing storage, retrievability, access con-trols, 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 indi-vidual ca

45、n be notified upon request if the system of records contains a record pertaining to that individual; (8) The procedures whereby an indi-vidual can be notified upon request how to gain access to any record per-taining to that individual contained in the system of records, and how to con-test its cont

46、ent; and (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 accu-racy, relevancy, timeliness, and com-pleteness as is reasonably necessary to assure fairness to the individual in the determinatio

47、n; (f) Prior to disseminating any record about an individual to any person other than an agency, unless the dis-semination is made pursuant to 10.35(a)(2), makes reasonable efforts to assure that such records are accurate, complete, timely, and relevant for the Departments purposes; (g) Maintains no

48、 record describing how any individual exercises rights guaranteed by the First Amendment unless: (1) Expressly authorized by the Gen-eral Counsel; and (2) Expressly authorized by statute or by the individual about whom the record is maintained or unless perti-nent to and within the scope of an au-th

49、orized 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 compul-sory legal process when such process becomes a matter of public record. 10.23 Accounting of disclosures. Each operating administration, the Office of Inspector General, and the Of-fice of the Secretary, with respect to each system of records under its c