DOT 49 CFR PART 1110-2010 PROCEDURES GOVERNING INFORMAL RULEMAKING PROCEEDINGS.pdf

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1、122 49 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 un

2、der the 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 meth

3、odology. (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 fil

4、es its 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 th

5、at party, 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 stipulation

6、s that 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 an

7、y concessions 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 th

8、e end 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

9、 will 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 Participati

10、on. 1110.5 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 oth

11、erwise 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 tit

12、le 5 of 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 petiti

13、on the 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 f

14、or ResaleNo reproduction or networking permitted without license from IHS-,-,-123 Surface Transportation Board, DOT 1110.5 (1) Be submitted, along with 15 copies if possible, to the Chief, Section of Ad-ministration, Office of Proceedings, Surface Transportation Board, Wash-ington, DC 204230001; (2)

15、 Set forth the text or substance of the rule or amendment proposed or specify the rule that the petitioner wants to have repealed or modified; (3) Explain the interest of the peti-tioner in the action requested; and (4) Contain any information and ar-guments available to the petitioner to support th

16、e action sought and may de-tail any environmental, energy, or small business considerations. (d) In rail cases, the Board will grant or deny a petition within 120 days of its receipt. (e) If the Board determines that a pe-tition contains adequate justification, it will open a rulemaking proceeding p

17、ursuant to 1110.3 and will notify the petitioner of its action. (f) If the Board determines that the petition does not contain adequate jus-tification for opening a rulemaking proceeding, the petition will be denied, with a brief statement of the grounds for denial, and the petitioner will be notifi

18、ed of the Boards action. (g) If a petition under this section concerning a common carrier by rail-road is granted, the Board will proceed as soon as it is practicable. If the peti-tion is denied, the Board will publish a statement of the reasons for the denial in the FEDERAL REGISTER. 47 FR 49556, N

19、ov. 1, 1982, as amended at 74 FR 52907, Oct. 15, 2009 1110.3 Publication of notices. (a) Interpretive rules, general state-ments of policy, and rules relating to organization, procedure, or practice may be issued as final without notice or other public rulemaking pro-ceedings. (b) General rulemaking

20、 proceedings will be opened by the issuance of either a notice of intent to institute a rule-making proceeding, an advance notice of proposed rulemaking, or a notice of proposed rules. The Board will publish the notice in the FEDERAL REGISTER, and it will invite the public to partici-pate in the rul

21、emaking proceeding. No notice will be issued when the Board finds for good cause, that notice is im-practical or unnecessary or contrary to the public interest. (c) Notices of proposed rulemakings will include: (1) The proposed rules, if prepared; (2) A discussion of why the rulemakings are needed a

22、nd what they are intended to accomplish; (3) Identification of significant dates in the proceedings, such as dates by which comments must be filed or on which the rules are proposed to take ef-fect; (4) Any relevant addresses; (5) The name and phone number of an individual within the Board who can p

23、rovide further information concerning the proceedings; (6) Any supplementary information required; and (7) Reference to the legal authority under which the rules are proposed. (d) In addition to being published in the FEDERAL REGISTER, notices of pro-posed rulemaking and subsequent no-tices and deci

24、sions in rulemaking pro-ceedings, will be served on the parties by the Office of Proceedings and made available to the public through the Of-fice of Public Assistance, Govern-mental Affairs, and Compliance. To the extent possible, the date of service will be the same as the date of publication in th

25、e FEDERAL REGISTER. When the service and publication dates are not the same, the date of publication in the FEDERAL REGISTER is controlling for the purpose of determining time peri-ods set by these procedures or by no-tices issued in individual proceedings. 47 FR 49556, Nov. 1, 1982, as amended at 7

26、4 FR 52907, Oct. 15, 2009 1110.4 Participation. Any person may participate in rule-making proceedings by submitting written information or views. In addi-tion, the Board may invite persons to present oral arguments, participate in informal conferences, appear at infor-mal fact-finding hearings, or p

27、artici-pate in any other proceedings. Informa-tion contained in written submissions will be given the same consideration. 1110.5 Consideration of comments re-ceived. All timely comments will be consid-ered before final action is taken on a VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 0

28、0133 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-124 49 CFR Ch. X (10110 Edition) 1110.6 rulemaking proposal. Comments which are filed late will be considered so far as p

29、ossible without incurring addi-tional expense, delay, or prejudice to other parties. 1110.6 Petitions for extension of time to comment. (a) Any person may petition the Board for an extension of time to sub-mit comments in response to a notice of proposed rulemaking. The petition and one copy must be

30、 submitted at least 10 days prior to the deadline for filing comments. The filing of the peti-tion does not automatically extend the time for the filing of petitioners com-ments. (b) The Board will grant the petition only if the petitioner shows a sub-stantive interest in the proposed rule and good

31、cause for the extension, and if the extension is in the public interest. If an extension is granted, notice of it will be published in the FEDERAL REG-ISTER, and it will apply to all persons. 1110.7 Availability of dockets. Dockets of pending rulemaking pro-ceedings are maintained in the Office of P

32、roceedings. These dockets are available for inspection by any person, and copies may be obtained upon pay-ment of the prescribed fee. 74 FR 52907, Oct. 15, 2009 1110.8 Adoption of final rules. If, after consideration of all com-ments received, final rules are adopted, notice will be published in the

33、 FEDERAL REGISTER. 1110.9 Petition for waiver. Any person may petition the Board for a permanent or temporary waiver of any rule. Petitions should be filed with the Chief, Section of Administra-tion, Office of Proceedings, Surface Transportation Board, Washington, DC 204230001, and should identify t

34、he rule involved. 74 FR 52907, Oct. 15, 2009 1110.10 Petitions for reconsideration. Any person may file a petition for re-consideration of the Boards decision in a rulemaking proceeding. Petitions should be filed within 20 days of the date that the final decision is published in the FEDERAL REGISTER

35、 and should identify the interest of the petitioner, the specific action sought, and the ar-guments favoring that action. PART 1111COMPLAINT AND INVESTIGATION PROCEDURES Sec. 1111.1 Content of formal complaints; join-der. 1111.2 Amended and supplemental com-plaints. 1111.3 Service. 1111.4 Answers an

36、d cross complaints. 1111.5 Motions to dismiss or to make more definite. 1111.6 Satisfaction of complaint. 1111.7 Investigations on the Boards own motion. 1111.8 Procedural schedule in stand-alone cost cases. 1111.9 Procedural schedule in cases using simplified procedures. 1111.10 Meeting to discuss

37、procedural mat-ters. AUTHORITY: 49 U.S.C. 721, 10704, and 11701. SOURCE: 61 FR 52711, Oct. 8, 1996, unless otherwise noted. 1111.1 Content of formal complaints; joinder. (a) General. A formal complaint must contain the correct, unabbreviated names and addresses of each complain-ant and defendant. It

38、 should set forth briefly and in plain language the facts upon which it is based. It should in-clude specific reference to pertinent statutory provisions and Board regula-tions, and should advise the Board and the defendant fully in what respects these provisions or regulations have been violated. T

39、he complaint should contain a detailed statement of the re-lief requested. Relief in the alternative or of several different types may be de-manded, but the issues raised in the formal complaint should not be broader than those to which complainants evi-dence is to be directed at the hearing. In a c

40、omplaint challenging the reason-ableness of a rail rate, the complainant should indicate whether, in its view, the reasonableness of the rate should be examined using constrained market pricing or using the simplified stand-ards adopted pursuant to 49 U.S.C. 10701(d)(3). If the complainant seeks to VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00134 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-