DOT 49 CFR PART 801-2010 PUBLIC AVAILABILITY OF INFORMATION.pdf

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1、537 National Transportation Safety Board 801.2 PART 801PUBLIC AVAILABILITY OF INFORMATION Subpart AApplicability and Policy Sec. 801.1 Applicability. 801.2 Policy. 801.3 Definitions. Subpart BAdministration 801.10 General. 801.11 Segregability of records. 801.12 Protection of records. Subpart CTime

2、Limits 801.20 Processing of records. 801.21 Initial determination. 801.22 Final determination. 801.23 Extension. Subpart DAccident Investigation Records 801.30 Records from accident investigations. 801.31 Public hearings regarding investiga-tions. 801.32 Accident reports. Subpart EOther Board Docume

3、nts 801.40 The Boards rules. 801.41 Reports to Congress. Subpart FExemption from Public Disclosure 801.50 Exemptions from disclosure. 801.51 National defense and foreign policy secrets. 801.52 Internal personnel rules and practices of the NTSB. 801.53 Records exempt by statute from dis-closure. 801.

4、54 Trade secrets and commercial or fi-nancial information. 801.55 Interagency and intra-agency ex-changes. 801.56 Unwarranted invasion of personal pri-vacy. 801.57 Records compiled for law enforce-ment purposes. 801.58 Records for regulation of financial in-stitutions. 801.59 Geological records. Sub

5、part GFee Schedule 801.60 Fee schedule. 801.61 Appeals of fee determinations. AUTHORITY: Independent Safety Board Act of 1974, as amended (49 U.S.C. 11011155); 5 U.S.C. 551(2); Freedom of Information Act (5 U.S.C. 552); 18 U.S.C. 641 and 2071; 31 U.S.C. 3717 and 9701; Federal Records Act, 44 U.S.C.

6、Chapters 21, 29, 31, and 33. SOURCE: 72 FR 18915, Apr. 16, 2007, unless otherwise noted. Subpart AApplicability and Policy 801.1 Applicability. (a) This part contains the rules that the National Transportation Safety Board (NTSB) follows in processing re-quests for records under the Freedom of Infor

7、mation Act (FOIA), 5 U.S.C. 552. These rules should be read together with the FOIA, which provides addi-tional information about public access to records maintained by the NTSB. (b) This part also provides for docu-ment services and the fees for such services, pursuant to 31 U.S.C. 9701. (c) This pa

8、rt applies only to records existing when the request for the infor-mation is made. The NTSB is not re-quired to create records for the sole purpose of responding to a FOIA re-quest. (d) Sections 801.51 through 801.59 of this chapter describe records that are exempt from public disclosure. 801.2 Poli

9、cy. (a) In implementing 5 U.S.C. 552, it is the policy of the NTSB to make infor-mation available to the public to the greatest extent possible, consistent with the mission of the NTSB. Infor-mation the NTSB routinely provides to the public as part of a regular NTSB activity (such as press releases

10、and in-formation disclosed on the NTSBs pub-lic Web site) may be provided to the public without compliance with this part. In addition, as a matter of policy, the NTSB may make discretionary dis-closures of records or information oth-erwise exempt from disclosure under the FOIA whenever disclosure w

11、ould not foreseeably harm an interest pro-tected by a FOIA exemption; however, this policy does not create any right enforceable in court. (b) Given the NTSBs stated policy of providing as much information as pos-sible regarding general NTSB oper-ations and releasing documents involv-ing investigati

12、ons, the NTSB strongly encourages requesters seeking informa-tion to check the NTSBs Web site for such information before submitting a FOIA request. For every investigation VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00547 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B

13、1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-538 49 CFR Ch. VIII (10110 Edition) 801.3 in which the NTSB has determined the probable cause of an accident, the NTSBs docket management system will include a public docket con-taining do

14、cumentation that the inves-tigator-in-charge deemed pertinent to the investigation. Requesters may ob-tain these public dockets without sub-mitting a FOIA request. The NTSB en-courages all requesters to review the public docket materials before submit-ting a FOIA request. 801.3 Definitions. The foll

15、owing definitions shall apply in this part: (a) Record includes any writing, drawing, map, recording, tape, film, photo, or other documentary material by which information is preserved. In this part, document and record shall have the same meaning. (b) Redact refers to the act of making a portion of

16、 text illegible by placing a black mark on top of the text. (c) Public Docket includes a col-lection of records from an accident in-vestigation that the investigator who oversaw the investigation of that acci-dent has deemed pertinent to deter-mining the probable cause of the acci-dent. (d) Non-dock

17、et items include other records from an accident that the in-vestigator who oversaw the investiga-tion of that accident has deemed irrele-vant or not directly pertinent to deter-mining the probable cause of the acci-dent. (e) Chairman means the Chairman of the NTSB. (f) Managing Director means the Ma

18、naging Director of the NTSB. (g) Requester means any person, as defined in 5 U.S.C. 551(2), who submits a request pursuant to the FOIA. Subpart BAdministration 801.10 General. (a) The NTSBs Chief, Records Man-agement Division, is responsible for the custody and control of all NTSB records required t

19、o be preserved under the Federal Records Act, 44 U.S.C. Chapters 21, 29, 31, and 33. (b) The NTSBs FOIA Officer shall be responsible for the initial determina-tion of whether to release records with-in the 20-working-day time limit, or the extension specified in the Freedom of Information Act. (c) T

20、he NTSBs Chief, Records Man-agement Division, shall: (1) Maintain for public access and commercial reproduction all accident files containing aviation and surface investigators reports, factual accident reports or group chairman reports, doc-umentation and accident correspond-ence files, transcripts

21、 of public hear-ings, if any, and exhibits; and (2) Maintain a public reference room, also known as a Reading Room, in accordance with 5 U.S.C. 552(a)(2). The NTSBs public reference room is lo-cated at 490 East LEnfant Plaza, SW., Washington, DC. Other records may be available in the NTSBs Electroni

22、c Reading Room, which is located on the NTSBs Web site, found at http:/ www.ntsb.gov. (d) Requests for documents must be made in writing to: National Transpor-tation Safety Board, Attention: FOIA Officer CIO40, 490 LEnfant Plaza, SW., Washington, DC 205942000. All re-quests: (1) Must reasonably iden

23、tify the record requested. For requests regard-ing an investigation of a particular ac-cident, requesters should include the date and location of the accident, as well as the NTSB investigation num-ber. In response to broad requests for records regarding a particular inves-tigation, the FOIA Office

24、will notify the requester of the existence of a pub-lic docket, and state that other non- docket items may be available, or may become available, at a later date. After receiving this letter and reviewing the items in the public docket, requesters should notify the FOIA office if the items contained

25、 in the public docket suffice to fulfill their request. (2) Must be accompanied by the fee or agreement (if any) to pay the reproduc-tion costs shown in the fee schedule at 801.60 of this title, and (3) Must contain the name, address, and telephone number of the person making the request. Requesters

26、 must update their address and telephone number in writing should this informa-tion change. VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00548 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitte

27、d without license from IHS-,-,-539 National Transportation Safety Board 801.20 (e) The envelope in which the re-quester submits the request should be marked prominently with the letters FOIA. If a request fails to include a citation to the FOIA, the NTSB FOIA Office will attempt to contact the re-qu

28、ester immediately to rectify the omission and/or clarify the request. However, the 20-working-day time limit for processing shall not com-mence until the FOIA Office receives a complete request. (f) The field offices of the NTSB shall not maintain, for public access, records maintained by the Chief,

29、 Records Man-agement Division. Requests mailed to NTSB field offices will not satisfy the NTSBs requirements for submitting a FOIA request. (g) The NTSB may work with a com-mercial reproduction firm to accommo-date requests for reproduction of acci-dent records from the public docket. The reproducti

30、on charges may be sub-ject to change. The NTSB will update its FOIA Web site to reflect any such changes. Section 801.60 of this title contains a current fee schedule. (h) The NTSB will not release records originally generated by other agencies or entities. Instead, the NTSB will refer such requests

31、 for other agencies records to the appropriate agency, which will make a release determina-tion upon receiving and processing the referred request. (i) Where a requester seeks a record on behalf of another person, and the record contains that persons personal information protected by Exemption 6 of

32、the FOIA (see section 801.56 of this title), the NTSB requires the requester to submit a notarized statement of consent from the person whose per-sonal information is contained in the record, before the NTSB releases the record. (j) In general, the NTSB will deny re-quests for records concerning a p

33、ending investigation, pursuant to appropriate exemptions under the FOIA. The FOIA Office will notify the requester of this denial, and will provide the requester with information regarding how the re-quester may receive information on the investigation once the investigation is complete. The NTSB di

34、scourages re-questers from submitting multiple FOIA requests in a continuing effort to obtain records before an investigation is complete. 801.11 Segregability of records. The initial decision of the FOIA Offi-cer will include a determination of segregability. If it is reasonable to do so, the exemp

35、t portions of a record will be segregated and, where necessary, re-dacted, and the nonexempt portions will be sent to the requester. 801.12 Protection of records. (a) No person may, without permis-sion, remove from the place where it is made available any record made avail-able for inspection or cop

36、ying under 801.10(c)(2) of this part. Stealing, al-tering, mutilating, obliterating, or de-stroying, in whole or in part, such a record shall be deemed a criminal of-fense. (b) Section 641 of title 18 of the United States Code provides, in perti-nent part, as follows: Whoever * * * steals, purloins,

37、 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 under this title or imprisoned not more than ten years, or both; but if t

38、he value of such property in the aggregate, combining amounts from all the counts for which the defendant is con-victed in a single case, does not exceed the sum of $1,000, he shall be fined under this title or imprisoned not more than one year, or both. (c) Section 2071(a) of title 18 of the United

39、 States Code provides, in perti-nent part, as follows: Whoever willfully and unlawfully conceals, removes, mutilates, 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 deposite

40、d * * * in any public office, or with any * * * public officer of the United States, shall be fined under this title or imprisoned not more than three years, or both. Subpart CTime Limits 801.20 Processing of requests. (a) The NTSB processes FOIA re-quests upon receipt. The NTSB FOIA Office may noti

41、fy the requester that the NTSB has received the request. The VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00549 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-

42、540 49 CFR Ch. VIII (10110 Edition) 801.21 FOIA Office will then place each re-quest on one of three tracks: (1) Track 1: Requests for which there are no records, requests that meet the criteria for expedited processing, or re-quests that seek records that have been produced in response to a prior r

43、equest. (2) Track 2: Requests that do not in-volve voluminous records or lengthy consultations with other entities. (3) Track 3: Requests that involve vo-luminous records and for which lengthy or numerous consultations are required, or those requests which may involve sensitive records. (b) Regardin

44、g expedited processing, if a requester states that he or she has a compelling need for the expedited treatment of their request, then the NTSB FOIA Office will determine whether to expedite the request and, where appropriate, do so. 801.21 Initial determination. The NTSB FOIA Officer will make an in

45、itial determination as to whether to release a record within 20 working days (excluding Saturdays, Sundays, and legal public holidays) after the request is received. This time limit may be ex-tended up to 10 additional working days in accordance with 801.23 of this part. The person making the reques

46、t will be notified immediately in writing of such determination. If a determina-tion is made to release the requested record(s), such record(s) will be made available promptly. If the FOIA Officer determines not to release the record(s), the person making the request will, when he or she is notified

47、 of such de-termination, be advised of: (a) The reason for the determination, (b) the right to appeal the determina-tion, and (c) the name and title or positions of each person responsible for the denial of the request. 801.22 Final determination. Requesters seeking an appeal of the FOIA Officers in

48、itial determination must send a written appeal to the NTSBs Managing Director within 20 days. The NTSBs Managing Director will determine whether to grant or deny any appeal made pursuant to 801.21 within 20 working days (exclud-ing Saturdays, Sundays, and legal pub-lic holidays) after receipt of suc

49、h ap-peal, except that this time limit may be extended for as many as 10 addi-tional working days, in accordance with 801.23. 801.23 Extension. In unusual circumstances as specified in this section, the time limits pre-scribed in either 801.21 or 801.22, may be extended by written notice to the person making a request and setting forth the reasons for such extension and the date