DOT 49 CFR PART 5-2010 RULEMAKING PROCEDURES.pdf

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1、50 49 CFR Subtitle A (10110 Edition) 3.1 3.1 Description. The official seal of the Department of Transportation is described as follows: A white abstract triskelion figure sig-nifying motion appears within a cir-cular blue field. The figure is symmet-rical. The three branches of the figure curve out

2、ward in a counter-clockwise direction, each tapering almost to a point at the edge of the field. Sur-rounding the blue circle is a circular ring of letters. The upper half of the ring shows the words Department of Transportation. The lower half of the ring shows the words United States of America. T

3、he letters may be shown in either black or medium gray. The offi-cial seal of the Department is modified when embossed. It appears below in black and white. PART 5RULEMAKING PROCEDURES Subpart AGeneral Sec. 5.1 Applicability. 5.3 Initiation of rulemaking. 5.5 Participation by interested persons. 5.7

4、 Regulatory docket. Subpart BPetitions for Rulemaking or Exemptions 5.11 Filing of petitions. 5.13 Processing of petitions. Subpart CProcedures 5.21 General. 5.23 Contents of notices. 5.25 Petitions for extension of time to com-ment. 5.27 Consideration of comments received. 5.29 Additional rulemakin

5、g proceedings. 5.31 Hearings. 5.33 Adoption of final rules. 5.35 Procedures for direct final rulemaking. APPENDIX A TO PART 5 AUTHORITY: Sec. 9, 80 Stat. 944 (49 U.S.C. 1657). SOURCE: 32 FR 10363, July 14, 1967, unless otherwise noted. Subpart AGeneral 5.1 Applicability. (a) This part prescribes gen

6、eral rule-making procedures that apply to the issuance, amendment, and repeal of rules of the Office of the Secretary of Transportation. It does not apply to rules issued by the Federal Aviation Administration, Federal Highway Ad-ministration, Federal Railroad Admin-istration, Federal Transit Admini

7、stra-tion, Maritime Administration, Na-tional Highway Traffic Safety Admin-istration, Research and Special Pro-grams Administration, St. Lawrence Seaway Development Corporation, or Federal Motor Carrier Safety Adminis-tration. (b) For the purposes of this part, Sec-retary means the Secretary of Tran

8、s-portation or the Under Secretary of Transportation, or any of the following to whom the Secretary has delegated authority to conduct rulemaking pro-ceedings: (1) Any Assistant Secretary. (2) The General Counsel. Any of these officers may redelegate that authority to the head of any office who repo

9、rts to him. (c) Records relating to rulemaking proceedings are available for inspec-tion as provided in part 7 of this sub-title. 32 FR 10363, July 14, 1967, as amended by Amdt. 52, 35 FR 5331, Mar. 31, 1970; Amdt. 5 3, 36 FR 430, Jan. 13, 1971; 69 FR 4457, Jan. 30, 2004 5.3 Initiation of rulemaking

10、. The Secretary initiates rulemaking on his own motion. However, in doing so, he may, in his discretion, consider the recommendations of other agencies VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00060 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212EC02FE91.096jdjones on DSK8KYBLC1PROD wit

11、h CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-51 Office of the Secretary of Transportation 5.21 of the United States and of other inter-ested persons. 5.5 Participation by interested per-sons. Any person may participate in rule-making proceedi

12、ngs by submitting written information or views. The Sec-retary may also allow any person to participate in additional rulemaking proceedings, such as informal appear-ances or hearings, held with respect to any rule. 5.7 Regulatory docket. (a) Records of the Office of the Sec-retary of Transportation

13、 concerning rulemaking actions, including notices of proposed rule making, comments re-ceived in response to those notices, pe-titions for rulemaking or exemption, petitions for rehearing or reconsider-ation, grants and denials of exemp-tions, denials of petitions for rule mak-ing, and final rules a

14、re maintained in current docket form in the Office of the General Counsel. (b) Any person may examine any docketed material at that office and may obtain a copy of any docketed ma-terial upon payment of the prescribed fee. Subpart BPetitions for Rulemaking or Exemptions 5.11 Filing of petitions. (a)

15、 Any person may petition the Sec-retary to issue, amend, or repeal a rule, or for a permanent or temporary ex-emption from any rule. (b) Each petition filed under this sec-tion must: (1) Be submitted in duplicate to the Docket Clerk, Office of the General Counsel, Department of Transpor-tation, Wash

16、ington, DC 20590; (2) Set forth the text or substance of the rule or amendment proposed, or of the rule from which the exemption is sought, or specify the rule that the pe-titioner seeks to have repealed, as the case may be; (3) Explain the interest of the peti-tioner in the action requested includ-

17、ing, in the case of a petition for an ex-emption, the nature and extent of the relief sought and a description of the persons to be covered by the exemp-tion; (4) Contain any information and ar-guments available to the petitioner to support the action sought; and (5) In the case of a petition for ex

18、-emption, unless good cause is shown in that petition, be submitted at least 60 days before the proposed effective date of the exemption. 5.13 Processing of petitions. (a) General. Each petition received under 5.11 of this part is referred to the head of the office responsible for the subject matter

19、 of that petition. No public hearing, argument, or other pro-ceeding is held directly on a petition before its disposition under this sec-tion. (b) Grants. If the Secretary deter-mines that the petition contains ade-quate justification, he initiates rule-making action under subpart C of this part or

20、 grants the exemption, as the case may be. (c) Denials. If the Secretary deter-mines that the petition does not justify initiating rule-making action or grant-ing the exemption, he denies the peti-tion. (d) Notification. Whenever the Sec-retary determines that a petition should be granted or denied,

21、 the office concerned and the Office of the General Counsel prepare a notice of that grant or denial for issuance to the petitioner, and the Secretary issues it to the peti-tioner. Subpart CProcedures 5.21 General. (a) Unless the Secretary finds, for good cause, that notice is impractical, unnecessa

22、ry, or contrary to the public interest, a notice of proposed rule mak-ing is issued and interested persons are invited to participate in the rule-making proceedings with respect to each substantive rule. (b) Unless the Secretary determines that notice and public rulemaking pro-ceedings are necessary

23、 or desirable, in-terpretive rules, general statements of policy, and rules relating to organiza-tion, procedure, or practice are pre-scribed as final without notice or other public rulemaking proceedings. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00061 Fmt 8010 Sfmt 8010 Y:SGML2202

24、12.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-52 49 CFR Subtitle A (10110 Edition) 5.23 (c) In his discretion, the Secretary may invite interested persons to par-ticipate in the rulemaking proceedings

25、described in 5.29 of this subpart. (d) For rules for which the Secretary determines that notice is unnecessary because no adverse public comment is anticipated, the direct final rule-making procedure described in 5.35 of this subpart may be followed. 32 FR 10363, July 14, 1967, as amended at 69 FR 4

26、458, Jan. 30, 2004 5.23 Contents of notices. (a) Each notice of proposed rule-making is published in the FEDERAL REGISTER, unless all persons subject to it are named and are personally served with a copy of it. (b) Each notice, whether published in the FEDERAL REGISTER or personally served, includes

27、: (1) A statement of the time, place, and nature of the proposed rule-making proceeding; (2) A reference to the authority under which it is issued; (3) A description of the subjects or issues involved or the substance or terms of the proposed rule; (4) A statement of the time within which written co

28、mments must be sub-mitted and the required number of cop-ies; and (5) A statement of how and to what extent interested persons may partici-pate in the proceeding. 5.25 Petitions for extension of time to comment. (a) Any person may petition the Sec-retary for an extension of time to sub-mit comments

29、in response to a notice of proposed rulemaking. The petition must be submitted in duplicate not later than 3 days before expiration of the time stated in the notice. The fil-ing of the petition does not automati-cally extend the time for petitioners comments. (b) The Secretary grants the petition on

30、ly if the petitioner shows a sub-stantive interest in the proposed rule and good cause for the extension, and if the extension is in the public interest. If an extension is granted, it is granted as to all persons and is published in the FEDERAL REGISTER. 5.27 Consideration of comments re-ceived. Al

31、l timely comments are considered before final action is taken on a rule- making proposal. Late filed comments may be considered so far as possible without incurring additional expense or delay. 5.29 Additional rulemaking pro-ceedings. The Secretary may initiate any fur-ther rulemaking proceedings th

32、at he finds necessary or desirable. For exam-ple, he may invite interested persons to present oral arguments, participate in conferences, appear at informal hear-ings, or participate in any other pro-ceeding. 5.31 Hearings. (a) Sections 556 and 557 of title 5, United States Code, do not apply to hea

33、rings held under this part. As a fact-finding proceeding, each hearing is nonadversary and there are no formal pleadings or adverse parties. Any rule issued in a case in which a hearing is held is not necessarily based exclu-sively on the record of the hearing. (b) The Secretary designates a rep-res

34、entative to conduct any hearing held under this part. The General Counsel designates a member of his staff to serve as legal officer at the hearing. 5.33 Adoption of final rules. Final rules are prepared by rep-resentatives of the office concerned and the Office of the General Counsel. The rule is t

35、hen submitted to the Sec-retary for his consideration. If the Sec-retary adopts the rule, it is published in the FEDERAL REGISTER, unless all persons subject to it are named and are personally served with a copy of it. 5.35 Procedures for direct final rule-making. (a) Rules that the Secretary judges

36、 to be noncontroversial and unlikely to result in adverse public comment may be published as direct final rules. These include noncontroversial rules that: (1) Affect internal procedures of the Office of the Secretary, such as filing requirements and rules governing in-spection and copying of docume

37、nts, VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00062 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-53 Office of the Secretary of Transportation Pt. 6 (2) A

38、re nonsubstantive clarifications or corrections to existing rules, (3) Update existing forms, (4) Make minor changes in the sub-stantive rules regarding statistics and reporting requirements, (5) Make changes to the rules imple-menting the Privacy Act, and (6) Adopt technical standards set by outsid

39、e organizations. (b) The FEDERAL REGISTER document will state that any adverse comment or notice of intent to submit adverse com-ment must be received in writing by the Office of the Secretary within the specified time after the date of publica-tion and that, if no written adverse comment or written

40、 notice of intent to submit adverse comment is received, the rule will become effective a speci-fied number of days after the date of publication. (c) If no written adverse comment or written notice of intent to submit ad-verse comment is received by the Of-fice of the Secretary within the speci-fie

41、d time of publication in the FEDERAL REGISTER, the Office of the Secretary will publish a notice in the FEDERAL REGISTER indicating that no adverse comment was received and confirming that the rule will become effective on the date that was indicated in the di-rect final rule. (d) If the Office of t

42、he Secretary re-ceives any written adverse comment or written notice of intent to submit ad-verse comment within the specified time of publication in the FEDERAL REGISTER, a notice withdrawing the di-rect final rule will be published in the final rule section of the FEDERAL REG-ISTER and, if the Off

43、ice of the Secretary decides a rulemaking is warranted, a notice of proposed rulemaking will be published in the proposed rule section of the FEDERAL REGISTER. (e) An adverse comment for the purpose of this subpart means any comment that the Office of the Sec-retary determines is critical of the rul

44、e, suggests that the rule should not be adopted, or suggests a change that should be made in the rule. A comment suggesting that the policy or require-ments of the rule should or should not also be extended to other Departmental programs outside the scope of the rule is not adverse. 69 FR 4458, Jan.

45、 30, 2004 APPENDIX A TO PART 5 Pursuant to 5.1(b), the following officials of the Office of the Secretary of Transpor-tation are authorized to conduct rulemaking proceedings under this part, as specified in this appendix: (1) The General Counsel is authorized to conduct all rule-making proceedings,

46、except the issuance of final rules, under the Act of March 19, 1918, ch. 24, as amended (15 U.S.C. 261264); the Uniform Time Act of 1966 (80 Stat. 107, 15 U.S.C. 260267); and section 6(e)(5) of the Department of Transportation Act (80 Stat. 939, 49 U.S.C. 1655 (e)(5). (2) The General Counsel is auth

47、orized to determine the practicability of applying the standard time of any standard time zone to the movements of any common carrier en-gaged in interstate or foreign commerce, and, under section 2 of the Act of March 19, 1918, ch. 24, as amended (15 U.S.C. 262), to issue operating exceptions in an

48、y case in which he determines that it is impractical to apply the standard time. Amdt. 51, 32 FR 11473, Aug. 9, 1967 PART 6IMPLEMENTATION OF EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS Subpart AGeneral Provisions Sec. 6.1 Purpose of these rules. 6.3 Applicability. 6.5 Proceedings covered. 6.7

49、Eligibility of applications. 6.9 Standards for awards. 6.11 Allowable fees and expenses. 6.13 Delegations of authority. Subpart BInformation Required from Applicants 6.17 Contents of application. 6.19 Net worth exhibit. 6.21 Documentation of fees and expenses. Subpart CProcedures for Considering Applications 6.23 Filing and service of documents. 6.25 Answer to application. 6.27 Comments by other parties. 6.29 Settlement.