DOT 49 CFR PART 1104-2010 FILING WITH THE BOARD - COPIES - VERIFICATION - SERVICE - PLEADINGS GENERALLY.pdf

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1、99 Surface Transportation Board, DOT 1104.1 the performance of his duties in the in-terest of such intermediaries. The prac-titioners relationship and responsi-bility to the client should be direct. (b) The practitioner may accept em-ployment from any organization (such as an association, club or tr

2、ade organi-zation) authorized by law to be a party to proceedings before the Board, to render services in such proceedings in any matter in which the organization, as an entity, is interested. This em-ployment should only include the ren-dering of such services to the members of the organization in

3、respect to the in-dividual affairs as are consistent with the free and faithful performance of his duties to the Board. (c) Nothing in this canon shall be construed as conflicting with 1103.20(d). 1103.35 Partnership or professional corporation names and titles. In the formation of a partnership or

4、professional corporation among practi-tioners care should be taken to avoid any misleading name or representation which would create a false impression as to the position or privileges of a member not duly authorized to prac-tice. No person should be held as a practitioner who is not duly qualified

5、under 1103.2 or 1103.3 of these rules. No person who is not duly admitted to practice should be held out in a way which will give the impression that he is so admitted. No false or assumed or trade name should be used to disguise the practitioner or his partnership or professional corporation. PART

6、1104FILING WITH THE BOARD-COPIES-VERIFICATION- SERVICE-PLEADINGS, GEN-ERALLY Sec. 1104.1 Address, identification, and elec-tronic filing option. 1104.2 Document specifications. 1104.3 Copies. 1104.4 Attestation and verification. 1104.5 Affirmation or delegations under pen-alty of perjury in accordan

7、ce with 18 U.S.C. 1621 in lieu of oath. 1104.6 Timely filing required. 1104.7 Computation and extension of time. 1104.8 Objectionable matter. 1104.9 Reserved 1104.10 Rejection of a deficient document. 1104.11 Amendments. 1104.12 Service of pleadings and papers. 1104.13 Replies and motions. 1104.14 P

8、rotective orders to maintain con-fidentiality. 1104.15 Certification of eligibility for Fed-eral benefits under 21 U.S.C. 862. AUTHORITY: 5 U.S.C. 553 and 559; 18 U.S.C. 1621; 21 U.S.C. 862; and 49 U.S.C. 721. SOURCE: 47 FR 49554, Nov. 1, 1982, unless otherwise noted. 1104.1 Address, identification,

9、 and electronic filing option. (a) Except as provided in 1115.7, pleadings should be addressed to the Chief, Section of Administration, Of-fice of Proceedings, Surface Transpor-tation Board, Washington, DC 20423 0001, and should designate the docket number and title of the proceeding, if known. (b)

10、The address of the person filing the pleading should be included on the first page of the pleading. (c) All envelopes in which a pleading is being submitted should be marked in the lower left hand corner with the docket number, if known, (not the full title) and the pleading type. (d) All multi-volu

11、me pleadings must be sequentially numbered on the cover of each volume to indicate the volume number of the pleading and the total number of volumes filed (e.g., the first volume in a 4-volume set should be la-beled volume 1 of 4, the second vol-ume volume 2 of 4 and so forth). (e) Persons filing pl

12、eadings and docu-ments with the Board have the option of electronically filing (e-filing) cer-tain types of pleadings and documents instead of filing paper copies. Details regarding the types of pleadings and documents eligible for e-filing, the pro-cedures to be followed, and other perti-nent infor

13、mation are available on the Boards Web site, http:/www.stb.dot.gov. If the e-filing option is chosen (for those pleadings and documents that are appropriate for e-filing, as deter-mined by reference to the information on the Boards Web site), then the ap-plicable requirements will be those specified

14、 on the Web site, and any re-quirements of 49 CFR part 1104 that are specifically applicable to filing of paper copies will not apply to the e-filed VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00109 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided b

15、y IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-100 49 CFR Ch. X (10110 Edition) 1104.2 pleadings and documents (these re-quirements include, but are not limited to, number of copies, stapling or bind-ing specifications, submission of com-pact disks or floppy

16、diskettes for docu-ments of 20 pages or more, signature in ink, etc.). Persons are not re-quired to e-file, and may continue to use the Boards processes for filing paper copies. 47 FR 49554, Nov. 1, 1982, as amended at 48 FR 34475, July 29, 1983; 53 FR 20854, June 7, 1988; 61 FR 52711, Oct. 8, 1996;

17、 69 FR 18498, Apr. 8, 2004; 74 FR 52906, Oct. 15, 2009 1104.2 Document specifications. (a) Documents, except electronic fil-ings, filed with the Board must be on white paper not larger than 812 by 11 inches, including any tables, charts, or other documents that may be included. Ink must be dark enou

18、gh to provide substantial contrast for scanning and photographic reproduction. Text must be double-spaced (except for footnotes and long quotations, which may be sin-gle-spaced), using type not smaller than 12 point. Printing may appear only on one side of the paper for origi-nal documents, but copi

19、es of filings may be printed on both sides of the paper. (b) In order to facilitate automated processing in document sheet feeders, original documents of more than one page may not be bound in any perma-nent form (no metal, plastic, or adhe-sive staples or binders) but must be held together with rem

20、ovable metal clips or similar retainers. Original doc-uments may not include divider tabs, but copies must if workpapers or ex-pert witness testimony are submitted. All pages of original documents, and each side of pages that are printed on both sides, must be paginated continu-ously, including cove

21、r letters and at-tachments. Where, as a result of assem-bly processes, such pagination is im-practical, documents may be numbered within the logical sequences of vol-umes or sections that make up the fil-ing and need not be renumbered to maintain a single numbering sequence throughout the entire fil

22、ing. (c) Some filings or portions of filings will not conform to the standard paper specifications set forth in paragraph (a) of this section and may not be scan-nable. For example, electronic spread-sheets are not susceptible to scanning, but oversized documents, such as over-sized maps and bluepri

23、nts, may or may not be scannable. Filings that are not scannable will be referenced on-line and made available to the public at the Boards offices. If parties file oversized paper documents, they are encouraged to file, in addition to the oversized doc-uments, representations of them that fit on the

24、 standard paper, either through reductions in size that do not undermine legibility, or through divi-sion of the oversized whole into mul-tiple sequential pages. The standard paper representations must be identi-fied and placed immediately behind the oversized documents they represent. (d) Color pri

25、nting may not be used for textual submissions. Use of color in filings is limited to images such as graphs, maps and photographs. To fa-cilitate automated processing of color pages, color pages may not be inserted among pages containing text, but may be filed only as appendices or attach-ments to fi

26、lings. Also, the original of any filing that includes color images must bear an obvious notation, on the cover sheet, that the filing contains color. 67 FR 5514, Feb. 6, 2002, as amended at 69 FR 18499, Apr. 8, 2004 1104.3 Copies. (a) An executed original, plus 10 cop-ies, of every paper pleading, d

27、ocument, or paper permitted or required to be filed under this subchapter, including correspondence, must be furnished for the use of the Board, unless otherwise specifically directed by another Board regulation or notice in an individual proceeding. Copies may be reproduced by any duplicating proce

28、ss, provided all copies are clear and legible. Appro-priate notes or other indications shall be used so that matters shown in color on the original, but in black and white on the copies, will be accurately identi-fied on all copies. (b) Electronic submissions accom-panying paper filings must be furn

29、ished as follows: (1) Textual submissions of 20 or more pages must be accompanied by three VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00110 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted

30、 without license from IHS-,-,-101 Surface Transportation Board, DOT 1104.5 electronic copies submitted on com-pact discs or 3.5-inch IBM-compatible formatted floppy diskettes. (2) Three sets of evidence or workpapers consisting of mathematical computations must be submitted as functioning electronic

31、 spreadsheets in Lotus 123 Release 9 or Microsoft Excel 97, or compatible versions, on compact discs or 3.5-inch IBM-compat-ible formatted floppy diskettes. In order to fully evaluate evidence, all spreadsheets must be fully accessible and manipulable. Electronic databases placed in evidence or offe

32、red as support for spreadsheet calculations must be compatible with the Microsoft Open Database Connectivity (ODBC) stand-ard. ODBC is a Windows technology that allows a database software pack-age to import data from a database cre-ated using a different software pack-age. We currently use Microsoft

33、 Access 97 and databases submitted should be in either this format or another ODBC- compatible format. All databases must be supported with adequate docu-mentation on data attributes, SQL queries, programmed reports, and so forth. (3) One copy of each diskette or com-pact disc submitted to the Board

34、 should, if possible, be provided to any other party requesting a copy. (4) Each diskette and compact disc must be clearly labeled with the Dock-et Number of the proceeding in which it is filed; the name(s) of the party(ies) on whose behalf the filing is made, and CONFIDENTIAL or REDACTED as appropr

35、iate. If more than one disk-ette or disc is submitted for one filing, the label of each must be sequentially numbered to indicate the diskette or disc number and the total number of diskettes or discs filed (e.g., the first disc of a 4-disc set should be labeled Disc 1 of 4, the second disc Disc 2 o

36、f 4, and so forth). 67 FR 5515, Feb. 6, 2002, as amended at 69 FR 18499, Apr. 8, 2004 1104.4 Attestation and verification. (a) Signature of attorney or practi-tioner. If a party is represented by a practitioner or an attorney, the origi-nal of each paper filed should be signed in ink by the practiti

37、oner or attorney, whose address should be stated. The signature of a practitioner or attorney constitutes a certification that the rep-resentative: (1) Has read the pleading, document or paper; (2) Is authorized to file it; (3) Believes that there is good ground for the document; (4) Has not interpo

38、sed the document for delay; A pleading, document or paper thus signed need not be verified or accom-panied by affidavit unless required elsewhere in these rules. (b) Signature by one not authorized to represent others before the Board. The original of each document not signed by a practitioner or at

39、torney must be: (1) Signed in ink; (2) Accompanied by the signers ad-dress; and (3) Verified, if it contains allegations of fact, under oath by the person, in whose behalf it is filed, or by a duly au-thorized officer of the corporation in whose behalf it is filed. If the pleading is a complaint, at

40、 least one complain-ant must sign and verify the pleading. 47 FR 49554, Nov. 1, 1982, as amended at 61 FR 52711, Oct. 8, 1996 1104.5 Affirmation or declarations under penalty of perjury in accord-ance with 18 U.S.C. 1621 in lieu of oath. (a) An affirmation will be accepted in lieu of an oath. (b) Wh

41、enever any rule of this Board requires or permits matter to be sup-ported, evidenced, established, or proved by sworn declaration, verification, certificate, statement, oath, or affidavit, in writing of the per-son making the same (other than a deposition, oath of office, or an oath required to be t

42、aken before a special official other than a notary public), such matter may, with like force and effect, be supported, evidenced, estab-lished, or proven by the unsworn dec-laration, certificate, verification, or statement, in writing of such person which is subscribed by him, as true under penalty

43、of perjury and dated, in the following form: I llllllllllllll, declare (cer-tify, verify, or state) under penalty of per-jury (under the laws of the United States, if executed outside of the United States) that VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00111 Fmt 8010 Sfmt 8010 Y:SGM

44、L220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-102 49 CFR Ch. X (10110 Edition) 1104.6 the foregoing is true and correct. Further, I certify that I am qualified and authorized to file this (specify

45、 type of document). Exe-cuted on (date). Signature (c) Knowing and willful misstatements or omissions of mate-rial facts constitute federal criminal violations punishable under 18 U.S.C. 1001 by imprisonment up to 5 years and fines up to $10,000 for each offense. Ad-ditionally, these misstatements a

46、re punishable as perjury under 18 U.S.C. 1621 which provides for fines up to $2,000 or imprisonment up to 5 years for each offense. 47 FR 49554, Nov. 1, 1982, as amended at 61 FR 52711, Oct. 8, 1996 1104.6 Timely filing required. Documents must be received for fil-ing at the Boards offices in Wash-i

47、ngton, DC within the time limits set for filing. The date of receipt at the Board, and not the date of deposit in the mail, determines the timeliness of filing. However, if a document is mailed by United States express mail, postmarked at least one day prior to the due date, it will be accepted as t

48、imely. Other express mail, received by the private express mail carrier at least one day prior to the due date, also will be accepted as timely filed. The term express mail means that the carrier or delivery service offers next day delivery to Washington, DC. If the e-filing option is chosen (for th

49、ose pleadings and documents that are ap-propriate for e-filing, as determined by reference to the information on the Boards Web site), then the e-filed pleading or document is timely filed if the e-filing process is completed before 5 p.m. eastern time on the due date. 47 FR 49554, Nov. 1, 1982, as amended at 61 FR 52711, Oct. 8, 1996; 69 FR 18499, Apr. 8, 2004 1104.7 Computation and extension of time. (a) C