DOT 49 CFR PART 1103-2010 PRACTITIONERS.pdf

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1、89 Surface Transportation Board, DOT Pt. 1103 respect to pending on-the-record pro-ceedings. (c) Prohibitions. (1) No party, counsel, agent of a party, or person who inter-cedes in any on-the-record proceeding shall engage in any ex parte commu-nication concerning the merits of the proceeding with a

2、ny Board Member, hearing officer, joint board member, employee board member or employee of the Board who participates, or who may reasonably be expected to partici-pate, in the decision in the proceeding. (2) No Board Member, hearing officer, joint board member, employee board member or employee of

3、the Board who participates, or is reasonably expected to participate, in the decision in an on- the-record proceeding shall invite or knowingly entertain any ex parte com-munication concerning the merits of a proceeding or engage in any such com-munication to any party, counsel, agent of a party, or

4、 person reasonably expected to transmit the communica-tion to a party or partys agent. (d) When prohibitions take effect. The prohibitions against ex parte commu-nications concerning the merits of a proceeding apply from the date on which a proceeding is noticed for oral hearing or for the taking of

5、 evidence by modified procedure, or when the person responsible for the communica-tion has knowledge that the proceeding will be so noticed, or at any time the Board, by rule or decision, specifies. (e) Procedure required of Board mem-bers and employees upon receipt of ex parte communications concer

6、ning the mer-its of a proceeding. Any person who re-ceives an ex parte communication con-cerning the merits of a proceeding must promptly transmit either the written communication, or a written summary of the oral communication with an outline of the surrounding cir-cumstances to the Chief, Section

7、of Ad-ministration, Office of Proceedings, Surface Transportation Board. The Section Chief shall place all of the ma-terial in the correspondence section of the public docket of the proceeding. A recipient of such ex parte communica-tion, who has doubt as to the nature of the communication, may requ

8、est a rul-ing on the question from the Boards Designated Agency Ethics Official. The Designated Agency Ethics Official shall promptly reply to such requests. The Chief, Section of Administration, Office of Proceedings, shall promptly notify the Chairman of the Board of such ex parte communications s

9、ent to the Section Chief. The Designated Agency Ethics Official shall promptly notify the Chairman of all requests for rulings sent to the Designated Agency Ethics Official. The Chairman may re-quire that any communication be placed in the correspondence section of the docket when fairness requires

10、that it be made public, even if it is not a prohibited communication. The Chair-man may direct the taking of such other action as may be appropriate under the circumstances. (f) Sanctions. (1) The Board may cen-sure, suspend, or revoke the privilege of practicing before the agency of any person who

11、knowingly and willfully en-gages in or solicits prohibited ex parte communication concerning the merits of a proceeding. (2) The relief or benefit sought by a party to a proceeding may be denied if the party, or his agent knowingly and willfully violates the foregoing rules. (3) The Board may censur

12、e, suspend, dismiss, or institute proceedings to suspend or dismiss any Board employee who knowingly and willfully violates the foregoing rules. 47 FR 49548, Nov. 1, 1982, as amended at 58 FR 42027, Aug. 6, 1993; 74 FR 52905, Oct. 15, 2009 PART 1103PRACTITIONERS Subpart AGeneral Information Sec. 110

13、3.1 Register of practitioners. 1103.2 Attorneys-at-lawqualifications and requirements to practice before the Board. 1103.3 Persons not attorneys-at-lawquali-fications and requirements for practice before the Board. 1103.4 Initial appearances. 1103.5 Discipline. Subpart BCanons of Ethics 1103.10 Intr

14、oduction. VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00099 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-90 49 CFR Ch. X (10110 Edition) 1103.1 THE PRACTITI

15、ONERS DUTIES AND RESPONSIBILITIES TOWARD THE BOARD 1103.11 Standards of ethical conduct in courts of the United States to be ob-served. 1103.12 The practitioners duty to and atti-tude toward the Board. 1103.13 Attempts to exert political or per-sonal influence on the Board are prohib-ited. 1103.14 P

16、rivate communications with the Board are prohibited. THE PRACTITIONERS DUTIES AND RESPONSIBILITIES TOWARD A CLIENT 1103.15 The practitioners duty to clients, generally. 1103.16 Adverse influences and conflicting interests. 1103.17 Joint association of practitioners and conflicts of opinion. 1103.18

17、Withdrawal from employment. 1103.19 Advising upon the merits of a cli-ents cause. 1103.20 Practitioners fees and related prac-tices. 1103.21 How far a practitioner may go in supporting a clients cause. 1103.22 Restraining clients from impropri-eties. 1103.23 Confidences of a client. THE PRACTITIONER

18、S DUTIES AND RESPON-SIBILITIES REGARDING WITNESSES, OTHER LITIGANTS AND THE PUBLIC 1103.24 Use of adverse witnesses. 1103.25 Treatment of witnesses, litigants and other counsel. 1103.26 Discussion of pending litigation in the public press. 1103.27 Candor and fairness in dealing with other litigants.

19、 1103.28 Negotiations with opposing party. 1103.29 Public communication and solicita-tion. 1103.30 Acceptance of employment. 1103.31 Responsibility for litigation. 1103.32 Discovery of imposition and decep-tion and duty to report corrupt or dis-honest conduct. 1103.33 Responsibility when proposing a

20、 per-son for admission to practice before the Board. 1103.34 Intermediaries. 1103.35 Partnership or professional corpora-tion names and titles. AUTHORITY: 21 U.S.C. 862; 49 U.S.C. 703(e), 721. SOURCE: 47 FR 49549, Nov. 1, 1982, unless otherwise noted. Subpart AGeneral Information 1103.1 Register of

21、practitioners. The Board maintains a register con-taining the names of all non-attorneys entitled to practice before it. The reg-ister is maintained according to the in-dividual non-attorney practitioners name and not by corporate or firm name. Corporations and firms are not admitted or recognized a

22、s practitioners before the Board. 1103.2 Attorneys-at-lawqualifica-tions and requirements to practice before the Board. Any person who is a member in good standing of the bar of the highest court of any State, Commonwealth, posses-sion, territory, or the District of Co-lumbia may represent persons b

23、efore the Board. 1103.3 Persons not attorneys-at-law qualifications and requirements for practice before the Board. (a) In general. Any citizen or resident of the United States, not an attorney- at-law, who files an application for ad-mission to practice, accompanied by the payment of the fee prescr

24、ibed by rule or order of the Board, and who successfully completes the practi-tioners examination, and shows that applicant possesses the necessary legal and technical qualifications to enable applicant to render valuable service be-fore the Board and that applicant is competent to advise and assist

25、 in the presentation of matters before the Board, may be permitted to practice before the Board. (b) Qualifications standards. A non-at-torney applicant for admission to prac-tice must meet one of the following re-quirements: (1) An applicant must have completed 2 years (60 semester hours or 90 quar

26、ter hours) of post secondary education and must possess technical knowledge, training or experience in the field of transportation which is regarded by the Board as the equivalent of 2 addi-tional years of college education; (2) An applicant must have worked in the field of transportation for at lea

27、st 10 years; VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00100 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-91 Surface Transportation Board, DOT 1103.3 (3)

28、An applicant must have received a bachelors degree with at least 12 se-mester hours or 18 quarter hours in transportation or business; or (4) An applicant must have received a bachelors degree and worked in the field of transportation for at least one year. An applicants statement of col-lege educat

29、ion must be supported by a transcript of records attached to the original application. Transcripts from any college accredited by the U.S. De-partment of Education will be accepted without question. With all other insti-tutions, the burden of proof is on the applicant to establish that the formal ed

30、ucation satisfies the standards set forth above. The qualifications stand-ards are intended as general guidelines. Individual situations that vary from the standards will continue to be eval-uated on their own merits. (c)(1) Application for admission. An ap-plication filed pursuant to this rule unde

31、r oath for admission to practice shall be submitted between January and May 1 of the year in which the ex-amination is to be taken. The applica-tion is to be completed in full on the form provided by the Board, and shall be addressed to the Director, Office of Public Assistance, Governmental Af-fair

32、s, and Compliance, Surface Trans-portation Board, Washington, DC 20423 0001, to the attention of the room num-ber indicated on the form. (2) Certification: All applicants must complete the following certification: I, lllll (Name) lllll, certify under penalty of perjury under the laws of the United S

33、tates, that I have not been con-victed, after September 1, 1989, of any Fed-eral or State offense involving the distribu-tion or possession of a controlled substance, or that if I have been so convicted, I am not ineligible to receive Federal Benefits, either by court order or operation of law, purs

34、uant to 21 U.S.C. 853a. (d) Application fee. Each application filed pursuant to this rule must be ac-companied by the non-refundable fee in the amount set forth in 49 CFR 1002.2(f)(100). Payment must be made either by check, money order or credit card payable to the Surface Transpor-tation Board. Ca

35、sh payment will not be accepted. (e) Additional certification. (1) When an application meets the required standards, a copy will be referred to the Association of Surface Transpor-tation Board Practitioners for a report to the Board as to the reputation and character of the applicant. Inquiry also w

36、ill be made by the Board of the spon-sors as to their knowledge of the appli-cants legal and technical qualifica-tions as contemplated by the Boards Rules of Practice. If the Board is satis-fied as to the applicants qualifica-tions, reputation and character, then applicant will be considered eligibl

37、e to take the examination. (2) The Board may require an appli-cants sponsors to provide a detailed statement of the nature and extent of their knowledge of applicants quali-fications. Upon consideration of this material, if the Board is not satisfied as to the adequacy of applicants quali-fications,

38、 the applicant will be notified by registered mail. Applicant may then request a hearing to prove his quali-fications. If applicant makes such a re-quest, the Board will allow a hearing. In the absence of a request for a hear-ing within 20 days after receipt of the notice, the application will be co

39、nsid-ered withdrawn. (f) Scope of examination. If applicant meets the educational and experience standards, and is found to be of good character, the applicant will be per-mitted to take the examination. The examination tests the applicants expe-rience and knowledge of the principal regulations, law

40、s, and economic prin-ciples in the field of transportation as well as knowledge of the Boards Rules of Practice and Canons of Ethics. (g) Time and place of examination. The examination will be conducted once a year on the second Tuesday in July. Notice of the time and place to appear for the examina

41、tion will be mailed to qualifying applicants approximately 30 days prior to the date of the examina-tion. (h) Location of examination. Examina-tions will ordinarily be conducted in selected cities where Board offices are located. A listing of the available sites will be attached to the application f

42、orm. Applicants may select their pre-ferred examination site. If a group of prospective applicants (three appli-cants or more) wishes to take the ex-amination at a location not listed, a VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00101 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjone

43、s on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-92 49 CFR Ch. X (10110 Edition) 1103.4 letter stating the preferred test site should be included with the applica-tion. The Board will make every effort to administer the tes

44、t at the requested location. (i) Cancellation of examination. If the Board determines that there is an in-sufficient number of applicants to war-rant conducting the examination, the Board will cancel the examination for that year. Notice of the cancellation will be mailed to applicants on or be-fore

45、 June 15 and the application fee will be refunded. The Board will con-duct the examination the next year fol-lowing the cancellation of the exam-ination. (j) Examination results. Results will be released within 90 days after the exam-ination. Individual results will be for-warded to the applicants a

46、t least 1 week before being publicly released. To protect the privacy of those taking the examination, individual grades will not be released over the telephone to any-one. Requests for grades may, however, be submitted in writing to the Office of Public Assistance, Governmental Af-fairs, and Compli

47、ance to the attention of the address stated in the application form. (k) Failure to appear for examination. Applicants who have failed to appear for, or postponed taking an examina-tion, a total of three times without showing good cause will have any sub-sequently filed application returned. (l) Fai

48、ling or postponing the examina-tion. Applicants who fail the examina-tion may reapply by submitting a re-quest in writing with an additional fil-ing fee in the amount set forth in 49 CFR 1002.2(f)(100). Applicants who post-pone taking the examination three times without showing good cause will have

49、their applications returned. (m) The filing fee in the amount set forth in 49 CFR 1002.2(f)(100) is not re-fundable. (n) Any application resubmitted to the Board after being returned must be accompanied by a filing fee in the amount set forth in 49 CFR 1002.2(f)(100). (o) Content and grading of examina-tion. The Employee Board on Education and Practice is responsible, under the general supervision of the Vice-Chair-man, for the examination of non-attor-