DOT 49 CFR PART 17-2010 INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES.pdf

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1、116 49 CFR Subtitle A (10110 Edition) 15.17 record contains both SSI and informa-tion that is not SSI, DOT, on a proper Freedom of Information Act or Privacy Act request, may disclose the record with the SSI redacted, provided the record is not otherwise exempt from disclosure under the Freedom of I

2、nfor-mation Act or Privacy Act. (c) Disclosures to committees of Con-gress and the General Accounting Office. Nothing in this part precludes DOT from disclosing SSI to a committee of Congress authorized to have the infor-mation or to the Comptroller General, or to any authorized representative of th

3、e Comptroller General. (d) Disclosure in enforcement pro-ceedings(1) In general. The Secretary of DOT may provide SSI to a person in the context of an administrative en-forcement proceeding when, in the sole discretion of the Secretary, access to the SSI is necessary for the person to prepare a resp

4、onse to allegations con-tained in a legal enforcement action document issued by DOT. (2) Security background check. Prior to providing SSI to a person under para-graph (d)(1) of this section, the Sec-retary of DOT may require the indi-vidual or, in the case of an entity, the individuals representing

5、 the entity, and their counsel, to undergo and sat-isfy, in the judgment of the Secretary of DOT, a security background check. (e) Other conditional disclosure. The Secretary of DOT may authorize a con-ditional disclosure of specific records or information that constitute SSI upon the written determ

6、ination by the Secretary that disclosure of such records or information, subject to such limitations and restrictions as the Sec-retary may prescribe, would not be det-rimental to transportation safety. (f) Obligation to protect information. When an individual receives SSI pursu-ant to paragraph (d)

7、 or (e) of this sec-tion that individual becomes a covered person under 15.7 and is subject to the obligations of a covered person under this part. (g) No release under FOIA. When DOT discloses SSI pursuant to paragraphs (b) through (e) of this section, DOT makes the disclosure for the sole pur-pose

8、 described in that paragraph. Such disclosure is not a public release of in-formation under the Freedom of Infor-mation Act. (h) Disclosure of Critical Infrastructure Information. Disclosure of information that is both SSI and has been des-ignated as critical infrastructure infor-mation under sectio

9、n 214 of the Home-land Security Act is governed solely by the requirements of section 214 and any implementing regulations. 15.17 Consequences of unauthorized disclosure of SSI. Violation of this part is grounds for a civil penalty and other enforcement or corrective action by DOT, and appro-priate

10、personnel actions for Federal employees. Corrective action may in-clude issuance of an order requiring re-trieval of SSI to remedy unauthorized disclosure or an order to cease future unauthorized disclosure. 15.19 Destruction of SSI. (a) DOT. Subject to the requirements of the Federal Records Act (5

11、 U.S.C. 105), including the duty to preserve records containing documentation of a Federal agencys policies, decisions, and essential transactions, DOT de-stroys SSI when no longer needed to carry out the agencys function. (b) Other covered persons(1) In gen-eral. A covered person must destroy SSI c

12、ompletely to preclude recognition or reconstruction of the information when the covered person no longer needs the SSI to carry out transpor-tation security measures. (2) Exception. Paragraph (b)(1) of this section does not require a State or local government agency to destroy in-formation that the

13、agency is required to preserve under State or local law. PART 17INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES Sec. 17.1 What is the purpose of these regula-tions? 17.2 What definitions apply to these regula-tions? 17.3 What programs and activities of the Department

14、 are subject to these regula-tions? 17.4 Reserved VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00126 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-117 Office

15、of the Secretary of Transportation 17.6 17.5 What is the Secretarys obligation with respect to Federal interagency coordina-tion? 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 con

16、cerning the Departments programs and activi-ties? 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 re-spond to comments? 17.10 How does the Secretary make efforts to a

17、ccommodate intergovernmental con-cerns? 17.11 What are the Secretarys 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 provi-sion of these regulations? AUTHORITY: Executive Order 12372,

18、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,

19、 unless otherwise noted. 17.1 What is the purpose of these reg-ulations? (a) The regulations in this part im-plement Executive Order 12372, Inter-governmental Review of Federal Pro-grams, issued July 14, 1982, and amended on April 8, 1983. These regula-tions also implement applicable provi-sions of

20、section 401 of the Intergovern-mental Cooperation Act of 1968 and sec-tion 204 of the Demonstration Cities and Metropolitan Development Act of 1966. (b) These regulations are intended to foster an intergovernmental partner-ship and a strengthened Federalism by relying on state processes and on state

21、, areawide, regional and local coordina-tion for review of proposed Federal fi-nancial assistance and direct Federal development. (c) These regulations are intended to aid the internal management of the De-partment, and are not intended to cre-ate any right or benefit enforceable at law by a party a

22、gainst the Department or its officers. 17.2 What definitions apply to these regulations? Department means the U.S. Depart-ment of Transportation. Order means Executive Order 12372, issued July 14, 1982, and amended April 8, 1983, and titled Intergovernmental Review of Federal Programs. Secretary mea

23、ns the Secretary of the U.S. Department of Transportation or an official or employee of the Depart-ment acting for the Secretary under a delegation of authority. State means any of the 50 states, the District of Columbia, the Common-wealth of Puerto Rico, the Common-wealth of the Northern Mariana Is

24、-lands, Guam, American Samoa, the U.S. Virgin Islands, or the Trust Terri-tory of the Pacific Islands. 17.3 What programs and activities of the Department are subject to these regulations? The Secretary publishes in the FED-ERAL REGISTER a list of the Depart-ments programs and activities that are su

25、bject to these regulations and identifies which of these are subject to the requirements of section 204 of the Demonstration Cities and Metropolitan Development Act. 17.4 Reserved 17.5 What is the Secretarys obliga-tion with respect to Federal inter-agency coordination? The Secretary, to the extent

26、prac-ticable, consults with and seeks advice from all other substantially affected Federal departments and agencies in an effort to assure full coordination be-tween such agencies and the Depart-ment regarding programs and activi-ties covered under these regulations. 17.6 What procedures apply to th

27、e se-lection of programs and activities under these regulations? (a) A state may select any program or activity published in the FEDERAL REGISTER in accordance with 17.3 of this part for intergovernmental review under these regulations. Each state, VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00

28、000 Frm 00127 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-118 49 CFR Subtitle A (10110 Edition) 17.7 before selecting programs and activi-ties shall consult with local el

29、ected of-ficials. (b) Each state that adopts a process shall notify the Secretary of the De-partments programs and activities se-lected 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 assuran

30、ce that the state has consulted with elect-ed 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 states proc-ess as soon as feasible, depending on i

31、n-dividual programs, and activities, after the Secretary is notified of its selec-tions. 17.7 How does the Secretary commu-nicate with state and local officials concerning the Departments pro-grams and activities? (a) For those programs and activities covered by a state process under 17.6, the Secre

32、tary, to the extent permitted by law: (1) Uses the state process to deter-mine views of state and local elected officials; and, (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

33、 and actions. (b) The Secretary provides notice to directly affected state, areawide, re-gional, and local entities in a state of proposed Federal financial assistance or direct Federal development if: (1) The state has not adopted a proc-ess under the Order; or (2) The assistance or development in-

34、volves a program or activity not se-lected for the state process. This notice may be made by publica-tion in the FEDERAL REGISTER or other appropriate means, which the Depart-ment in its discretion deems appro-priate. 17.8 How does the Secretary provide states an opportunity to comment on proposed F

35、ederal financial as-sistance and direct Federal devel-opment? (a) Except in unusual circumstances, the Secretary gives state processes or state, areawide, regional and local offi-cials and entities at least: (1) Reserved (2) 60 days from the date established by the Secretary to comment on pro-posed

36、direct Federal development or Federal financial assistance. (b) This section also applies to com-ments in cases in which the review, co-ordination, and communication with the Department have been delegated. (c) Applicants for programs and ac-tivities subject to section 204 of the Demonstration Citie

37、s and Metropolitan Act shall allow areawide agencies a 60- day opportunity for review and com-ment. 17.9 How does the Secretary receive and respond to comments? (a) The Secretary follows the proce-dures in 17.10 if: (1) A state office or official is des-ignated to act as a single point of con-tact b

38、etween a state process and all federal agencies, and (2) That office or official transmits a state process recommendation for a program selected under 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 t

39、here is no state process recommendation. (2) If a state process recommendation is transmitted by a single point of con-tact, 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

40、 unable to submit a state process recommendation, state, areawide, regional and local officials and entities may submit comments ei-ther to the applicant or to the Depart-ment. (d) If a program or activity is not se-lected for a state process, state, areawide, regional and local officials VerDate Ma

41、r2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00128 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-119 Office of the Secretary of Transportation 17.12 and entities may su

42、bmit comments ei-ther to the applicant or to the Depart-ment. In addition, if a state process recommendation for a nonselected pro-gram or activity is transmitted to the Department by the single point of con-tact, the Secretary follows the proce-dures of 17.10 of this part. (e) The Secretary conside

43、rs com-ments 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 17.10 of this part, when such comments are provided by a single point of contact, by the appli-cant, or directly to the Departm

44、ent by a commenting party. 17.10 How does the Secretary make efforts to accommodate intergov-ernmental concerns? (a) If a state process provides a state process recommendation to the Depart-ment through its single point of con-tact, the Secretary either: (1) Accepts the recommendation; (2) Reaches a

45、 mutually agreeable so-lution with the state process; or (3) Provides the single point of con-tact with a written explanation of the decision, in such form as the Secretary in his or her discretion deems appro-priate. The Secretary may also supple-ment the written explanation by pro-viding the expla

46、nation to the single point of contact by telephone, other telecommunication, or other means. (b) In any explanation under para-graph (a)(3) of this section, the Sec-retary informs the single point of con-tact that: (1) The Department will not imple-ment its decision for at least ten days after the s

47、ingle point of contact re-ceives the explanation; or (2) The Secretary has reviewed the decision and determined that, because of unusual circumstances, the waiting period of at least ten days is not fea-sible. (c) For purposes of computing the waiting period under paragraph (b)(1) of this section, a

48、 single point of con-tact is presumed to have received writ-ten notification 5 days after the date of mailing of such notification. 17.11 What are the Secretarys obliga-tions in interstate situations? (a) The Secretary is responsible for: (1) Identifying proposed federal finan-cial assistance and di

49、rect federal devel-opment that have an impact on inter-state areas; (2) Notifying appropriate officials and entities in states which have adopted a process and which select the Departments program or activity. (3) Making efforts to identify and no-tify the affected state, areawide, re-gional, and local officials and entities in those states that have not adopted a process under the Order or do not se-lect the Departments program