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Rights & Permissions Free PDF Access Sign in to download PDF book and chapters Free Resources Display this book on your site! Related Titles Private Lives and Public Policies:Confidentiality and Accessibility of Government Statistics TCRP Legal Research Digest 37: Legal Arrangements for Use and Control of Real-Time Data Other Related Titles TCRP Legal Research Digest 32: Reconciling Security, Disclosure, and Record-Retention Requirements in Transit Procurements (2010) Transit Cooperative Research Program Legal Program (TCRPLEGAL) Citation Manager Export the bibliographic data for this book in your chosen format Web Search Builder Use this book's key terms to search within this book, across our collection, or across the Web. Skim This Chapter Skim this chapter and use this chapter's key terms to search within this book. Reference Finder Paste in your own text to find books that relate to your topic. Citation Manager Waite, Jocelyn K, Transportation Research Board. "APPENDIX A: Federal Statutory and Regulatory Provisions." TCRP Legal Research Digest 32: Reconciling Security, Disclosure, and Record-Retention Requirements in Transit Procurements. Washington, DC: The National Academies Press, 2010. Please select a format: Page 57   E-mail Share on facebook Facebook Share on delicious Delicious Share on stumbleupon Stumble Share on twitter Twitter More Sharing ServicesMore Page 57 COVER (1-1) CONTENTS (2-2) LIST OF ACRONYMS (3-3) LIKELY QUESTIONS CONCERNING MANAGEMENT OF SECURITY INFORMATION (4-4) A. Statement of the Problem (5-5) B. Background of Threats to Public Transit Systems (6-6) C. Background of Public Records Requirements (7-11) A. FOIA (12-17) B. Critical Infrastructure Information/Sensitive Security Information (18-30) III. STATE LAW SUMMARY (31-31) A. Public Records Laws - Disclosure Requirements (32-37) B. Public Records Laws - Security Exemptions (38-39) C. Public Records Laws - Other Exemptions That May Protect SSI and Other Security Information (40-42) D. Records Management Laws (43-43) A. Transit Agency A (44-44) C. Agency C (45-46) F. Virginia Department of Transportation (47-47) A. Minimizing Need to Balance Security and Transparency (48-48) B. Deciding Whether Information Should Be Disclosed (49-49) C. Procedures for Maintaining Contract Records Containing CII/SSI/Restricted Security Information (50-52) D. Issues to Consider in Establishing/Reviewing Security Protocol for Procurement Process (53-53) VI. CONCLUSIONS (54-56) APPENDIX A: Federal Statutory and Regulatory Provisions (57-59) APPENDIX B: State Public Records/Freedom of Information Laws (60-63) APPENDIX C: Security Exemptions to State Public Records/Freedom of Information Laws (64-69) APPENDIX D: State Records Management Laws (70-73) APPENDIX E: Sample Nondisclosure Agreements (74-74) APPENDIX F: Examples of SSI and Non-SSI (75-75) APPENDIX G: Checklist for Assessing Adequacy of Management of Security Information (76-78) ACKNOWLEDGMENTS (79-79) BACK COVER (80-80)

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57 APPENDIX A: Federal Statutory and Regulatory Provisions Links to citations are provided for convenience; transit agencies should verify statutory language from official sources. Legislation · Aviation and Transportation Security Act of 2001, Public Law (Pub. L.) No. 107­71, 115 Stat. 597, Nov. 19, 2001, http://frwebgate.access.gpo.gov/cgi- bin/getdoc.cgi?dbname=107_cong_public_laws&docid=f:publ071.107.pdf. · Critical Infrastructures Protection Act of 2001, 42 U.S.C. 5195c [Section 1016 of USA PATRIOT Act of 2001, Pub. L. No. 107-56, 115 Stat. 272, Oct. 26, 2001, http://frwebgate.access.gpo.gov/cgi- bin/getdoc.cgi?dbname=107_cong_public_laws&docid=f:publ056.107.pdf]. · Homeland Security Act of 2002, Pub. L. No. 107-296, 116 Stat. 2135, Nov. 25, 2002, http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=107_cong_public_laws&docid=f:publ296.107.pdf. · Critical Infrastructure Information Act of 2002, 116 Stat. 2150, Subtitle B of Homeland Security Act of 2002, Pub. L. No. 107-296, http://frwebgate.access.gpo.gov/cgi- bin/getdoc.cgi?dbname=107_cong_public_laws&docid=f:publ296.107.pdf. · Department of Homeland Security Appropriations Act, 2006, Pub. L. No. 109­90, 119 Stat. 2064, Oct. 18, 2005, http://frwebgate.access.gpo.gov/cgi- bin/getdoc.cgi?dbname=109_cong_public_laws&docid=f:publ090.109.pdf. · Department of Homeland Security Appropriations Act, 2007, Pub. L. No. 109­295,120 Stat. 1355, et seq., Oct. 4, 2006, http://frwebgate.access.gpo.gov/cgi- bin/getdoc.cgi?dbname=109_cong_public_laws&docid=f:publ295.109.pdf. · Implementing Recommendations of the 9/11 Commission Act of 2007, §§ 1203, 1305, Pub. L. No. 110-53, 121 Stat. 266, Aug. 3, 2007, http://frwebgate.access.gpo.gov/cgi- bin/getdoc.cgi?dbname=110_cong_public_laws&docid=f:publ053.110.pdf. · National Transit Systems Security Act of 2007 (Title XIV of the Implementing Recommendations of the 9/11 Commission Act of 2007, Pub. L. No. 110-53, 121 Stat. 400 (Aug. 3, 2007)), http://frwebgate.access.gpo.gov/cgi- bin/getdoc.cgi?dbname=110_cong_public_laws&docid=f:publ053.110.pdf. · Openness Promotes Effectiveness in our National Government Act of 2007, Pub. L. No. 110-175, 121 Stat. 2524, et seq., http://frwebgate.access.gpo.gov/cgi- bin/getdoc.cgi?dbname=110_cong_public_laws&docid=f:publ175.110.pdf. · Freedom of Information Act (FOIA), 5 U.S.C. 552, http://frwebgate.access.gpo.gov/cgi- bin/usc.cgi?ACTION=RETRIEVE&TYPE=TEXT&FILE=/diska/wais/data/browse_usc/usc5.wais&start=187652& size=125475&TYPE=TEXT. · 6 U.S.C. § 114 (Sensitive Security Information), http://frwebgate.access.gpo.gov/cgi- bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc5.wais&start=187652&SIZE=125475&TYPE=PDF. · 6 U.S.C. § 133 (Protection of voluntarily shared critical infrastructure information), http://frwebgate.access.gpo.gov/cgi- bin/usc.cgi?ACTION=RETRIEVE&TYPE=TEXT&FILE=/diska/wais/data/browse_usc/usc5.wais&start=187652& size=125475&TYPE=TEXT. · 6 U.S.C. § 1333 (National Strategy for Public Transportation Security), http://frwebgate.access.gpo.gov/cgi- bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc6.wais&start=1530875&SIZE=3989&TYPE=PDF.

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58 · 6 U.S.C. § 1334 (Security assessments and plans), http://frwebgate.access.gpo.gov/cgi- bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc6.wais&start=1534870&SIZE=10422&TYPE=PDF. · 6 U.S.C. § 1335 (Public transportation security assistance), http://frwebgate.access.gpo.gov/cgi- bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc6.wais&start=1545298&SIZE=10293&TYPE=PDF. · 6 U.S.C. § 1337 (Public transportation security training program), http://frwebgate.access.gpo.gov/cgi- bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc6.wais&start=1559208&SIZE=6102&TYPE=PDF. · 6 U.S.C. § 1343 (Security background checks of covered individuals for public transportation), http://frwebgate.access.gpo.gov/cgi- bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc6.wais&start=1597129&SIZE=8342&TYPE=PDF. · 49 U.S.C. § 5327(a)(13) (Safety and security management plan), http://frwebgate.access.gpo.gov/cgi- bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc49.wais&start=1781790&SIZE=12643&TYPE=PDF. · 49 U.S.C. § 5330 (State safety oversight), http://frwebgate4.access.gpo.gov/cgi- bin/TEXTgate.cgi?WAISdocID=314704359398+0+1+0&WAISaction=retrieve. · 49 U.S.C. § 40119(b) (Security and research and development activities: disclosure), http://frwebgate3.access.gpo.gov/cgi-bin/TEXTgate.cgi?WAISdocID=31734223381+0+1+0&WAISaction=retrieve. Regulations/Executive Memoranda/Guidance/Project Agreements Department of Homeland Security · Procedures for Handling Critical Infrastructure Information, 6 C.F.R. Part 29. · 49 C.F.R. Part 1515, Appeal and Waiver Procedures for Security Threat Assessments for Individuals, www.access.gpo.gov/nara/cfr/waisidx_08/49cfr1515_08.html [TSA suggests this as a model for appeal and waiver process--"Status," www.tsa.dhs.gov/assets/pdf/guidance_employee_background_checks.pdf]. · 49 C.F.R. Part 1520, Protection of Sensitive Security Information, www.access.gpo.gov/nara/cfr/waisidx_08/49cfr1520_08.html. · 49 C.F.R. § 1572.103, Disqualifying criminal offenses http://edocket.access.gpo.gov/cfr_2008/octqtr/pdf/49cfr1572.103.pdf [TSA suggests this as a model for back- ground checks--"Additional Guidance on Background Checks Redress and Immigration," www.tsa.dhs.gov/assets/pdf/guidance_employee_background_checks.pdf]. · 49 C.F.R. Part 1580, Rail Transportation Security, Subpart C--Passenger Rail Including Passenger Rail- road Carriers, Rail Transit Systems, Tourist, Scenic, Historic and Excursion Operators, and Private Cars, http://frwebgate4.access.gpo.gov/cgi- bin/TEXTgate.cgi?WAISdocID=315211406194+17+1+0&WAISaction=retrieve. Department of Justice · Guide to the Freedom of Information Act (June 2009), www.justice.gov/oip/foia_guide09.htm. Department of Transportation · Public Availability of Information, 49 C.F.R. Part 7, www.access.gpo.gov/nara/cfr/waisidx_08/49cfr7_08.html.

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59 · Protection of Sensitive Security Information, 49 C.F.R. Part 15, www.access.gpo.gov/nara/cfr/waisidx_08/49cfr15_08.html. · Record Retention, 49 C.F.R. §§ 18.36(i)(11); 18.42, www.access.gpo.gov/nara/cfr/waisidx_08/49cfr18_08.html. Federal Transit Administration · 49 C.F.R. Part 659, Rail Fixed Guideway Systems; State Safety Oversight, www.access.gpo.gov/nara/cfr/waisidx_08/49cfr659_08.html. · FTA Master Agreement, October 1, 2009, Section 8. Reporting, Record Retention, and Access, www.fta.dot.gov/documents/16-Master.pdf. · FTA Master Agreement, Section 37. Protection of Sensitive Security Information, www.fta.dot.gov/documents/16-Master.pdf. · FTA Circular 5800.1, Safety and Security Management Guidance for Major Capital Projects (August 1, 2007), www.fta.dot.gov/laws/circulars/leg_reg_6930.html. · FTA Circular 4220.1F, Third Party Contracting Guidance (November 1, 2008, and amendments thereto), www.fta.dot.gov/laws/circulars/leg_reg_8641.html. · Sensitive Security Information (SSI): Designation, Markings, and Control (Resource Document for Transit Agencies), March 2009, http://transit-safety.volpe.dot.gov/publications/order/singledoc.asp?docid=968. · FOIA Requests, www.fta.dot.gov/about/about_FTA_186.html. · 49 C.F.R. Part 659 Reference Guide, June 22, 2005, http://transit- safety.volpe.dot.gov/publications/sso/49CFRPart659_FinalRule/49CFR659_Reference_Guide.pdf. · TSA/FTA Security and Emergency Action Items for Transit Agencies, Document Control, http://transit- safety.volpe.dot.gov/security/SecurityInitiatives/ActionItems/actionlist.asp#Document_Control. · Memorandum of January 21, 2009--Freedom of Information Act, 74 Fed. Reg. 4683, January 26, 2009, http://edocket.access.gpo.gov/2009/pdf/E9-1773.pdf.