« PreviousContinue »
of classified information for which the Secretary of Transportation is responsible. Specifically, this regulation is DOD 5220.22-M, National Industrial Security Program Operating Manual. This regulation is effective within the Department of Transportation, which functions as a User Agency as prescribed in the regulation. Appropriate security staffs, project personnel, and contracting officers assure that actions required by the regulation are taken.
and for the control of the applicant's notes until they have been reviewed. In addition to the security review of the applicant's manuscript, the manuscript must be reviewed by appropriate offices to assure that it is technically accurate insofar as material obtained from the Department is concerned, and is consistent with the Department's public release policies.
(b) Former Presidential appointees. Persons who previously occupied policymaking positions to which they were appointed by the President may be granted access to classified information or material that they originated, reviewed, signed, or received, while in public office, provided that:
(1) It is determined that such access is clearly consistent with the interests of national security; and
(2) The person agrees to safeguard the information, to authorize a review of the person's notes to assure that classified information is not contained therein, and that the classified information will not be further disseminated or published.
PART 9-TESTIMONY OF EMPLOY
EES OF THE DEPARTMENT AND
Sec. 9.1 Purpose. 9.2 Applicability. 9.3 Definitions. 9.5 General prohibition of production or dis
closure in legal proceedings. 9.7 Testimony by employees before the De
partment or in other legal proceedings in
which the United States is a party. 9.9 Legal proceedings between private liti
gants: General rules. 9.11 Legal proceedings between private liti
gants: Demands. 9.13 Legal proceedings between private liti
gants: Procedures to request records. 9.15 Legal proceedings between private liti
gants: Procedures to request testimony. 9.17 Legal proceedings between private liti
gants: Procedures for taking testimony. 9.19 Acceptance of service on behalf of Sec
AUTHORITY: 5 U.S.C. 301; 45 U.S.C. 41-42; 49 U.S.C. 322; 49 U.S.C. 504(f); 23 U.S.C. 409.
SOURCE: 58 FR 6724, Feb. 2, 1993, unless otherwise noted.
$ 8.31 Industrial security.
(a) Background. The National Industrial Security Program was established by Executive Order 12829 of January 6, 1993 for the protection of information classified pursuant to Executive Order 12356 of April 2, 1982, National Security Information, or its predecessor or successor orders, and the Atomic Energy Act of 1954, as amended. The Secretary of Defense serves as the Executive Agent for inspecting and monitoring contractors, licensees, grantees, and certificate holders that require or will require access to, or that store or will store, classified information, and for determining the eligibility for access to classified information of contractors, licensees, certificate holders, and grantees, and their respective employees.
(b) Implementing regulations. The Secretary of Transportation has entered into agreement for the Secretary of Defense to render industrial security services for the Department of Transportation. Regulations prescribed by the Secretary of Defense to fulfill the provisions of Executive Order 12829 have been extended to protect release
(a) This part sets forth procedures governing the testimony of an employee in legal proceedings in which the United States is a party. It also sets forth procedures to be followed when an employee is issued a subpoena, order or other demand (collectively referred to in this part as a “demand") by a court or other competent authority, or is requested by a private litigant, to provide testimony or produce records concerning information acquired in the course of performing official duties or because of the employee's official status. It also prescribes the
policies and procedures of the Depart- events that are in no way related to ment with respect to the acceptance of the employee's official duties or the service of legal process and pleadings functions of the Department. Nor does in legal proceedings involving the De- it apply to Congressional demands for partment.
testimony or documents. (b) The purposes of this part are to:
(1) Conserve the time of employees 89.3 Definitions. for conducting official business;
For purposes of this part: (2) Minimize the possibility of involv
Department means the Department of ing the Department in controversial
Transportation (DOT), including the issues not related to its mission;
Office of the Secretary (which encom(3) Maintain the impartiality of the
passes the Office of the Inspector GenDepartment among private litigants;
eral) and the following operating ad(4) Avoid spending the time and
ministrations while they are part of money of the United States for private
DOT: purposes; and
(a) The U.S. Coast Guard. (5) To protect confidential, sensitive information and the deliberative proc
(b) The Federal Aviation Administra
tion. esses of the Department. (c) Agency counsel, in his or her dis
(c) The Federal Highway Administra
tion. cretion, may permit an exception from any requirement in this part. The ex
(d) The Federal Railroad Administra
tion. ception may be granted only when the deviation will not interfere with mat
(e) The Federal Transit Administraters of operational or military neces
tion. sity, and when agency counsel deter- (f) The St. Lawrence Seaway Develmines that:
opment Corporation. (1) It is necessary to prevent a mis- (g) The National Highway Traffic carriage of justice;
Safety Administration. (2) The Department has an interest in (h) The Maritime Administration. the decision that may be rendered in (i) The Research and Special Prothe legal proceeding; or
grams Administration. (3) The exception is in the best inter
(j) Any DOT operating administraest of the Department or the United tion established after the effective date States.
of this part. For Office of Inspector General em- Legal proceeding means any case or ployees and documents, the Inspector controversy pending before any federal, General, in conjunction with the Gen- state, or local court (including grand eral Counsel of the Department, may jury proceedings), any administrative permit an exception from any require- proceeding pending before any federal, ment of this part if the Inspector Gen- state, or local agency, or any legislaeral determines, based on the Inspector tive proceeding pending before any General Act of 1978, as amended, that state or local agency. application of the requirement would Legal proceeding between private litibe inappropriate.
gants means any legal proceeding in
which neither the Department of $9.2 Applicability.
Transportation nor the United States This part applies to the testimony of (including any federal agency or officer an employee in legal proceedings in of the United States in his or her offiwhich the United States is a party. It cial capacity) is a party. also applies in legal proceedings be- Employee of the Department or Emtween private litigants to requests or ployee means any current or former ofdemands for testimony or records con- ficer or employee of the Department; cerning information acquired in the any active duty, retired, or former officourse of an employee performing offi- cer or enlisted member of the Coast cial duties or because of the employee's Guard; or any current or former conofficial status. This part does not apply tractor (including any corporation or to any legal proceeding in which an other entity and any employee or subemployee is to testify as to facts or contractor).
Agency counsel means the General Counsel of the Department or the Chief Counsel of any operating administration of the Department concerned, any person to whom the General Counsel or Chief Counsel has delegated authority, or any person who is authorized to represent the Department in a specific legal proceeding.
Testimony means any written or oral statement by a witness, including depositions, answers to interrogatories, affidavits, declarations, and statements at a hearing or trial.
may testify as to facts within the employee's personal knowledge, provided that the testimony be subject to the prior approval of agency counsel and to the Federal Rules of Civil Procedure and any applicable claims of privilege.
(c) An employee may testify as an expert or opinion witness on behalf of an officer or enlisted member of the Coast Guard in any legal proceeding conducted by the Coast Guard.
89.5 General prohibition of production
or disclosure in legal proceedings. No employee of the Department may provide testimony or produce any material contained in the files of the Department, or disclose any information relating to, or based upon, material contained in the files of the Department, or disclose any information or produce any material acquired as part of the performance of that employee's official duties or because of that employee's official status unless authorized in accordance with this part, or by other applicable law.
$9.7 Testimony by employees before
the Department or in other legal proceedings in which the United
States is a party. In any legal proceeding before the Department or in which the United States (including any federal agency or officer of the United States) is a party:
(a) Agency counsel shall arrange for an employee to testify as a witness for the United States whenever the attorney representing the United States requests it.
(b) An employee may testify for the United States both as to facts within the employee's personal knowledge and as an expert or opinion witness. Except as provided in paragraph (c) of this section, an employee may not testify as an expert or opinion witness, with regard to any matter arising out of the employee's official duties or the functions of the Department, for any party other than the United States in any legal proceeding in which the United States is a party. An employee who receives a demand to testify on behalf of a party other than the United States
$9.9 Legal proceedings between pri
vate litigants: General rules. In legal proceedings between private litigants:
(a) The proper method for obtaining testimony or records from an employee is to submit a request to agency counsel as provided in $89.13 and 9.15 of this part, not to serve a demand on the employee. Whenever, in a legal proceeding between private litigants, an employee is served with a demand, or receives a request, to testify in that employee's official capacity or produce records, the employee shall immediately notify agency counsel.
(b) If authorized to testify pursuant to these rules, an employee may testify only as to facts within that employee's personal knowledge with regard to matters arising out of his or her official duties.
(1) When the proceeding arises from an accident, an employee may testify only as to personally known facts, not reasonably available from other sources, observed by the employee or uncovered during the employee's investigation of the accident or observed by the employee even if he or she did not investigate the accident. The employee shall decline to testify regarding facts beyond the scope of his or her official duties.
(2) The employee shall not testify to facts that are contained in a report, or any part of a report, unless the employee has obtained permission from agency counsel to disclose the information.
(3) The employee shall not disclose confidential or privileged information unless the employee has obtained permission from agency counsel to disclose the information.
(4) The employee shall not testify as to facts when agency counsel determines that the testimony would not be in the best interest of the Department or the United States if disclosed.
(c) An employee shall not testify as an expert or opinion witness with regard to any matter arising out of the employee's official duties or the functions of the Department. An employee who is asked questions that call for expert or opinion testimony shall decline to answer on the grounds that it is forbidden by this part. Agency counsel shall advise the employee on how to proceed if the presiding officer directs the employee to provide expert or opinion testimony
(d) An employee shall not provide testimony at a trial or hearing. An employee's testimony shall be limited to a single deposition, affidavit, or set of interrogatories, concerning the circumstances (e.g. an accident) from which the proceeding arose. Where multiple legal proceedings concerning those circumstances are pending, or can occur, it shall be the duty of the private litigant seeking the testimony to ascertain, to the extent feasible, the identities of all parties, or potential parties, to those proceedings and notify them that a deposition has been granted and that they have the opportunity to participate. The private litigant shall submit an affidavit or certification describing the extent of the search for parties and potential parties and listing the names of the parties and potential parties notified.
(e) Where an employee has already provided testimony, any party wishing to obtain further testimony from that employee concerning the same matter or occurrence, whether in the same or a different private legal proceeding, may submit a request to agency counsel to waive the restrictions of paragraph (d) of this section. The request shall, in addition to meeting the requirements of $9.15 of this part, state why the requester should be permitted to gather additional information despite not having previously requested the information when it had an opportunity to do so, and why the additional testimony is now required and the prior testimony or previously supplied documents are insufficient.
8 9.11 Legal proceedings between pri
vate litigants: Demands. (a) If an employee receives a demand that has not been validly issued or served, agency counsel may instruct the employee not to comply with the demand.
(b) If an employee receives a demand (validly issued and served) to testify or produce records, agency counsel, in his or her discretion, may grant the employee permission to testify or produce records only if the purposes of this part are met or agency counsel determines that an exception is appropriate.
(C) If a demand is issued to an employee, agency counsel shall contact the requester of the demand, inform that person of the requirements of this part, and may, in agency counsel's discretion, ask that the demand be withdrawn.
(d) If the requester of the demand refuses to have it withdrawn or fails to comply with this part, the Department may seek to quash the demand.
(e) If the court or other competent authority declines to grant the Department's motion to quash, agency counsel shall instruct the employee whether to testify or produce documents pursuant to the demand. Agency counsel may permit the testimony under $9.1(c) of this part. If response to a demand is required before the court or other competent authority rules on the motion to quash and the court fails to stay the demand, the employee must appear at the stated time and place, produce a copy of this part, and respectfully refuse to provide any testimony or produce any documents. Agency counsel shall take steps to arrange for legal representation for the employee. Agency counsel shall advise the employee how to respond, including not to testify, if the court or other competent authority rules that the demand must be complied with irrespective of these regulations.
$9.13 Legal proceedings between pri
vate litigants: Procedures to re
quest records. (a) In a legal proceeding between private litigants, a party who wishes to obtain records from the Department shall submit to agency counsel a request for the records. The request will ordinarily be handled in accordance with the Department's procedures concerning requests for records found at 49 CFR part 7. If the party does not follow the procedures specified in that part, the request must be accompanied by a statement setting forth the relevance of the records to the proceeding. The request should be resolved before any request for testimony under $9.15 is submitted. Where a request for testimony includes a request for additional records, it shall indicate precisely how this new request differs in scope from any previous request in order to avoid agency duplication of effort. Agency counsel shall notify the requester of the approval or denial of the request.
(7) A declaration that the party will not seek expert or opinion testimony from the witness or seek the testimony of the witness at a hearing or trial in the proceeding. The request shall specify which form of testimony (deposition, affidavit, declaration, or answers to interrogatories) is desired and the date by which it is desired; however, only one form, the one least burdensome to the Department that will provide the needed information, will be permitted for each witness.
(b) The party seeking the testimony shall include with its request for testimony a copy of any prior request(s) made by the same requester to the Department or other agency of the United States for records pertaining to the matter being litigated and of the response (not including the records themselves) to the request(s). The party seeking the testimony shall also comply with any agency counsel request that copies of the records previously disclosed by the Department, or a list of those records, be furnished.
(c) In accordance with the requirement of this section and the general provisions of this part, agency counsel shall notify the requester of the approval or denial of the request. Agency counsel may attach special conditions to its approval.
89.15 Legal proceedings between pri
vate litigants: Procedures to re
quest testimony. (a) Any party seeking the testimony of an employee in a legal proceeding between private litigants, concerning facts within the employee's personal knowledge with regard to matters arising out of the employee's official duties, shall, rather than serving a demand for the testimony, request the testimony at least 30 days before it is intended to be taken or received. The request must be submitted to agency counsel and must include:
(1) The title of the case, docket number, and the court, or otherwise clearly identify the legal proceeding involved;
(2) A statement setting forth the basic facts in the proceeding, such as the type, date, and location of an accident;
(3) A summary of the unresolved issues applicable to the testimony sought;
(4) A summary of the testimony sought and its relevant to the proceeding;
(5) A certification with support, that the information desired is not reasonably available from other sources, including Departmental documents;
(6) Pursuant to $9.9(d) of this part, an affidavit or certification describing the extent of a search of parties and potential parties and listing the names of the parties and potential parties notified; and
89.17 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 assigned, or any other place designated by agency counsel. Additional conditions may be specified under $9.15(c) of this part. The time shall be reasonably fixed to avoid substantial interference with the performance of the employee's or agency counsel's official duties.
(b) Upon completion of the testimony of an employee of the Department, a copy of the transcript of the testimony shall be furnished, at the expense of the party requesting the testimony, to agency counsel for the Department's files.