DOT 49 CFR PART 1109-2010 USE OF ALTERNATIVE DISPUTE RESOLUTION IN BOARD PROCEEDINGS AND THOSE IN WHICH THE BOARD IS A PARTY.pdf

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1、121 Surface Transportation Board, DOT 1109.2 overnight mail on the parties and on the STB, together with a copy of the arbitration decision. Replies to such appeals may be filed within 20 days of the filing of the appeal with the Board. An appeal or a reply under this para-graph shall not exceed 20

2、pages in length. The parties shall furnish to the STB an original and 10 copies of ap-peals and replies filed pursuant to this section. The filing fee for an appeal will be as set forth in 49 CFR 1002.2(f)(87). (b) The filing of an appeal, as allowed in paragraph (a) of this 1108.11, auto-matically

3、will stay an arbitration deci-sion pending disposition of the appeal. The STB will decide any such appeal within 50 days after the appeal is filed. Such decision by the STB shall be served in accordance with normal STB service procedures. (c) The STB will review, and may va-cate or amend, an arbitra

4、tion award, in whole or in part, only on the grounds that such award (1) Exceeds the STBs statutory juris-diction; or (2) Does not take its essence from the Interstate Commerce Act. (d) Effective arbitration decisions rendered pursuant to these procedures, whether or not appealed to the STB, may onl

5、y be enforced in accordance with 9 U.S.C. 9 and vacated by a court in accordance with 9 U.S.C. 10, except that an STB decision vacating an arbi-tration award is reviewable under the Hobbs Act, 28 U.S.C. 2321, 2342. 1108.12 Additional matters. Where an arbitration demand is filed by one or more compl

6、ainants against one or more defendants, the complain-ants as a group and the defendants as a group shall be entitled to exercise those rights, with respect to the selec-tion of arbitrators, as are conferred on individual arbitration parties. PART 1109USE OF ALTERNATIVE DISPUTE RESOLUTION IN BOARD PR

7、OCEEDINGS AND THOSE IN WHICH THE BOARD IS A PARTY Sec. 1109.1 Invoking ADR in Board proceedings. 1109.2 Appeals from arbitration decisions. 1109.3 Confidentiality in ADR matters. 1109.4 Mandatory mediation in rate cases to be considered under the stand-alone cost methodology. AUTHORITY: 5 U.S.C. 571

8、 et seq. SOURCE: 57 FR 32451, July 22, 1992, unless otherwise noted. 1109.1 Invoking ADR in Board pro-ceedings. Any proceeding may be held in abey-ance for 90 days while administrative dispute resolution (ADR) procedures (such as arbitration and mediation) are pursued. (Additional 90 day periods can

9、 be requested.) The period while any proceeding is held in abeyance to fa-cilitate ADR will not be counted to-wards the statutory deadlines. All par-ties are required to indicate their writ-ten consent for ADR treatment. Re-quests that a proceeding be held in abeyance while ADR procedures are pursue

10、d should be submitted to the Chief, Section of Administration, Of-fice of Proceedings. The Director of the Office of Proceedings shall promptly issue an order in response to such re-quests. Unless arbitration or some other binding process involving a neu-tral has been undertaken, any party believing

11、 that ADR procedures are not yielding the intended results shall in-form the Chief, Section of Administra-tion, Office of Proceedings and all par-ties in writing, and normal agency pro-cedures will be reactivated by the Di-rector of the Office of Proceedings by notice served on all the parties. 74 F

12、R 52907, Oct. 15, 2009 1109.2 Appeals from arbitration deci-sions. Appeals are limited to clear errors of general transportation importance, and not issues of causation or fact. Arbitra-tion awards can be challenged on the basis that they do not take their es-sence from the Interstate Commerce Act,

13、or are not limited to the matters the parties have referred for arbitra-tion. Appeals are limited to 10 type-written pages. Parties will have 20 days from the service date of the decision to file, and opposing parties 20 days to an-swer. Arbitration decisions will become effective in 30 days unless

14、a party seeks a stay of the decision within 10 days of VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00131 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-122 49

15、 CFR Ch. X (10110 Edition) 1109.3 its issuance, and we grant the stay. Ap-peals and stay petitions should be lim-ited to extraordinary circumstances. 57 FR 32451, July 22, 1992; 57 FR 35628, Aug. 10, 1992 1109.3 Confidentiality in ADR Mat-ters In all ADR matters involving the Board, whether under th

16、e Administra-tive Dispute Resolution Act or not, the confidentiality provisions of that Act (5 U.S.C. 574) shall bind the Board and all parties and neutrals in those ADR matters. 67 FR 36822, May 28, 2002 1109.4 Mandatory mediation in rate cases to be considered under the stand-alone cost methodolog

17、y. (a) A shipper seeking rate relief from a railroad or railroads in a case involv-ing the stand-alone cost methodology must engage in non-binding mediation of its dispute with the railroad upon filing a formal complaint under 49 CFR Part 1111. (b) Within 10 business days after the shipper files its

18、 formal complaint, the Board will assign a mediator to the case. Within 5 business days of the as-signment to mediate, the mediator shall contact the parties to discuss ground rules and the time and location of any meeting. At least one principal of each party, who has the authority to bind that par

19、ty, shall participate in the mediation and be present at any session at which the mediator requests that the principal be present. (c) The mediator will work with the parties to try to reach a settlement of all or some of their dispute or to nar-row the issues in dispute, and reach stipulations that

20、 may be incorporated into any adjudication before the Board if mediation does not fully resolve the dispute. If the parties reach a settle-ment, the mediator may assist in pre-paring a settlement agreement. (d) The entire mediation process shall be private and confidential. No party may use any conc

21、essions made or information disclosed to either the me-diator or the opposing party before the Board or in any other forum without the consent of the other party. (e) The mediation shall be completed within 60 days of the appointment of the mediator. The mediation may be terminated prior to the end

22、of the 60- day period only with the certification of the mediator to the Board. Requests to extend mediation, or to re-engage it later, will be entertained on a case-by- case basis, but only if filed by all inter-ested parties. (f) Absent a specific order from the Board, the onset of mediation will

23、not affect the procedural schedule in stand- alone cost rate cases, set forth at 49 CFR 1111.8(a). 68 FR 17313, Apr. 9, 2003 PART 1110PROCEDURES GOV-ERNING INFORMAL RULEMAKING PROCEEDINGS Sec. 1110.1 Applicability. 1110.2 Opening of proceeding. 1110.3 Publication of notices. 1110.4 Participation. 11

24、10.5 Consideration of comments received. 1110.6 Petitions for extension of time to comment. 1110.7 Availability of dockets. 1110.8 Adoption of final rules. 1110.9 Petition for waiver. 1110.10 Petitions for reconsideration. AUTHORITY: 49 U.S.C. 721. SOURCE: 47 FR 49556, Nov. 1, 1982, unless otherwise

25、 noted. 1110.1 Applicability. This part contains general rule-making procedures that apply to the issuance, amendment, and repeal of rules, general policy statement, or other interpretation of rules or law of the Surface Transportation Board, adopted under the procedures of sec-tion 553 of title 5 o

26、f the United States Code (the Administrative Procedure Act). 1110.2 Opening of proceeding. (a) The Board may open a rule-making proceeding on its own motion. In doing so, it may consider the rec-ommendations of other agencies of the United States and of other persons. (b) Any person may petition the

27、 Board to issue, amend, or repeal a rule. (c) Each petition seeking the institu-tion of a proceeding, filed under this section must: VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00132 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-