DOT 49 CFR PART 1011-2010 BOARD ORGANIZATION DELEGATIONS OF AUTHORITY.pdf

1、29 Surface Transportation Board, DOT 1011.2 whom information is sought to provide information to the Board which, absent assurances of confidentiality, they might otherwise be unwilling to give. However, if practicable, material iden-tifying a confidential source shall be extracted or summarized in

2、a manner which protects the source, and the summary or extract shall be provided to the requesting individual. (c) Complaints and investigatory ma-terials compiled by the Boards Office of Inspector General are exempt from the provisions of 5 U.S.C. 552a and the regulations in this part, pursuant to

3、5 U.S.C. 552a(j)(2), except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11) and (i) to the extent that the system of records per-tains to the enforcement of criminal laws. Complaint and investigatory ma-terials compiled by the Boards Office of Inspector Gener

4、al for law enforce-ment purposes also are exempt from the provisions of 5 U.S.C. 552a and the regulations of this part, pursuant to 5 U.S.C. 552a(k)(2). 41 FR 3087, Jan. 21, 1976, as amended at 58 FR 15291, Mar. 22, 1993; 58 FR 28520, May 14, 1993 PART 1011BOARD ORGANIZA-TION; DELEGATIONS OF AUTHOR-

5、ITY Sec. 1011.1 General. 1011.2 The Board. 1011.3 The Chairman, Vice Chairman, and Board Member. 1011.4 Delegations to individual Board Members. 1011.5 Employee boards. 1011.6 Delegations of authority by the Chairman. 1011.7 Delegations of authority by the Board to specific offices of the Board. AUT

6、HORITY: 5 U.S.C. 553; 31 U.S.C. 9701; 49 U.S.C. 701, 721, 11123, 11124, 11144, 14122, and 15722. SOURCE: 67 FR 60167, Sept. 25, 2002, unless otherwise noted. 1011.1 General. (a) This part describes the organiza-tion of the Board, and the assignment of jurisdiction and the responsibilities to the Boa

7、rd, individual Board Mem-bers or employees, and employee boards. (b) As used in this part, matter in-cludes any case, proceeding, question, or other matter within the Boards ju-risdiction; and decision includes any de-cision, ruling, order, or requirement of the Board, an individual Board Member or

8、employee, or an employee board. 1011.2 The Board. (a) The Board reserves to itself for consideration and disposition: (1) All rulemaking and similar pro-ceedings involving the promulgation of rules or the issuance of statements of general policy. (2) All investigations and other pro-ceedings institu

9、ted by the Board, ex-cept as may be ordered in individual situations. (3) All administrative appeals in a matter previously considered by the Board. (4) All other matters submitted for decision except those assigned to an in-dividual Board Member or employee or an employee board. (5) Except for matt

10、ers assigned to the Chairman of the Board under 1011.4(a)(6): (i) The determination of whether to reconsider a decision being challenged in court; (ii) The disposition of matters that have been the subject of an adverse de-cision by a court; and (iii) The determination of whether to file any memoran

11、dum or brief or other-wise participate on behalf of the Board in any court. (6) The disposition of all matters in-volving issues of general transpor-tation importance, and the determina-tion whether issues of general trans-portation importance are involved in any matter. (7) All appeals of initial d

12、ecisions issued by the Director of the Office of Proceedings under the authority dele-gated by 1011.7(b). Appeals must be filed within 10 days after service of the Director decision or publication of the notice, and replies must be filed within 10 days after the due date for appeals or any extension

13、 thereof. (b) The Board may bring before it any matter assigned to an individual VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00039 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without l

14、icense from IHS-,-,-30 49 CFR Ch. X (10110 Edition) 1011.3 Board Member or employee or em-ployee board. 1011.3 The Chairman, Vice Chair-man, and Board Member. (a)(1) The Chairman of the Board is appointed by the President as provided by 49 U.S.C. 701(c)(1). The Chairman has authority, duties, and re

15、sponsibil-ities assigned under 49 U.S.C. 701(c)(2) and described in this part. (2) The Vice Chairman is elected by the Board for the term of 1 calendar year. (3) In the Chairmans absence, the Vice Chairman is acting Chairman, and has the authority and responsibilities of the Chairman. In the Vice Ch

16、air-mans absence, the Chairman, if present, has the authority and respon-sibilities of the Vice Chairman. In the absence of both the Chairman and Vice Chairman, the remaining Board Mem-ber is acting Chairman, and has the au-thority and responsibilities of the Chairman and Vice Chairman. (b)(1) The C

17、hairman is the executive head of the Board and has general re-sponsibilities for: (i) The overall management and func-tioning of the Board; (ii) The formulation of plans and policies designed to assure the effective administration of the Interstate Com-merce Act and related Acts; (iii) Prompt identi

18、fication and early resolution, at the appropriate level, of major substantive regulatory prob-lems; and (iv) The development and use of ef-fective staff support to carry out the duties and functions of the Board. (2) The Chairman of the Board exer-cises the executive and administrative functions of

19、the Board, including: (i) The appointment, supervision, and removal of Board employees, except those in the immediate offices of Board Members other than the Chairman; (ii) The distribution of business among such personnel and among ad-ministrative units of the Board; and (iii) The use and expenditu

20、res of funds. (3) In carrying out his or her func-tions, the Chairman is governed by general policies of the Board and by such regulatory decisions, findings, and determinations as the Board by law is authorized to make. (4) The appointment by the Chairman of the heads of offices is subject to the a

21、pproval of the Board. All heads of of-fices report to the Chairman. (c)(1) The Chairman presides at all sessions of the Board and sees that every vote and official act of the Board required by law to be recorded is accu-rately and promptly recorded by the Clearance Clerk or the person des-ignated by

22、 the Board for that purpose. (2) Regular sessions of the Board are provided for by Board regulations. The Chairman may call the Board into spe-cial session to consider any matter or business of the Board. The Chairman shall convene a special session to con-sider any matter or business on request of

23、a member of the Board unless a ma-jority of the Board votes either not to hold a special session or to delay con-ference consideration of that item, or unless the Chairman finds that special circumstances warrant a delay. Not-withstanding the two immediately pre-ceding sentences of this paragraph, o

24、n the written request of any member of the Board, the Chairman shall schedule a Board conference to discuss and vote on significant Board proceedings in-volving major transportation issues, and such conference shall be held with-in a reasonable time following the close of the record in the involved

25、pro-ceeding. (3) The Chairman exercises general control over the Boards argument cal-endar and conference agenda. (4) The Chairman acts as cor-respondent and speaks for the Board in all matters where an official expression of the Board is required. (5) The Chairman brings any delay or failure in the

26、 work to the attention of the supervising Board Member, em-ployee, or board, and initiates ways of correcting or preventing avoidable delays in the performance of any work or the disposition of any matter. (6) The Chairman may appoint such standing or ad hoc committees of the Board as he or she cons

27、iders necessary. (7) The Chairman may reassign re-lated proceedings to a board of employ-ees and may remove a matter from an individual Board Member or employee VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00040 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with C

28、FRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-31 Surface Transportation Board, DOT 1011.5 or employee board for consideration and disposition by the Board. (8) The Chairman may authorize any officer, employee, or administrative unit of the Board

29、to perform a function vested in or delegated to the Chairman. (9) The Chairman authorizes the in-stitution of investigations on the Boards own motion, and their dis-continuance at any time before hear-ing. (10) The Chairman approves for publi-cation all publicly issued documents by an office, except

30、: (i) Those authorized or adopted by the Board or an individual Board Mem-ber that involve decisions in formal proceedings; (ii) Decisions or informal opinions of an office; and (iii) Documents prepared for court cases or for introduction into evidence in a formal proceeding. 67 FR 60167, Sept. 25,

31、2002, as amended at 74 FR 52903, Oct. 15, 2009 1011.4 Delegations to individual Board Members. (a) The following matters are re-ferred to the Chairman of the Board: (1) Entry of reparation orders respon-sive to findings authorizing the filing of statements of claimed damages as provided at 49 CFR pa

32、rt 1133. (2) Extensions of time for compliance with orders and procedural matters in any formal case or pending matter, ex-cept appeals taken from the decision of a hearing officer on requests for dis-covery. (3) Postponement of the effective date of orders in proceedings that are the subject of sui

33、ts brought in a court to enjoin, suspend, or set aside the de-cision. (4) Dismissal of complaints and appli-cations on the unopposed motion of any party. (5) Requests for access to waybills and to statistics reported under orders of the Board. (6) Exercise of control over litigation arising under th

34、e Freedom of Informa-tion Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a), except for deter-minations whether to seek further ju-dicial review of: (i) A decision in which a court finds under 5 U.S.C. 552(a)(4)(F) that Board personnel may have acted arbitrarily or capriciously in improperly wi

35、th-holding records from disclosure; or (ii) A decision in which a court finds under 5 U.S.C. 552a(g)(4) that Board personnel acted intentionally or will-fully in violating the Privacy Act. (7) Issuance of certificates and deci-sions authorizing Consolidated Rail Corporation to abandon or discontinue

36、 service over lines for which an applica-tion under section 308 of the Regional Rail Reorganization Act of 1973 has been filed. (8) Designation in writing of employ-ees authorized to inspect and copy records and to inspect and examine lands, buildings, and equipment pursu-ant to 49 U.S.C. 11144, 141

37、22, and 15722. (9) Authority to act alone to take necessary actions in emergency situa-tions when the Chairman is the only Board member reasonably available. (b) The following matters are re-ferred to the Vice Chairman of the Board: (1) Matters within the jurisdiction of the Accounting Board if cert

38、ified to the Vice Chairman by the Accounting Board or if removed from the Account-ing Board by the Vice Chairman. (2) Matters involving the admission, disbarment, or discipline of practi-tioners before the Board under 49 CFR part 1103. (c) The Chairman, Vice Chairman, or other Board Member to whom a

39、 matter is assigned under this part may certify such matter to the Board. (d) The Chairman shall notify all Board Members that a petition for a stay has been referred to the Chairman for disposition under paragraphs (a)(2) or (3) of this section. The Chairman shall also inform all Board Members of t

40、he decision on that petition before service of such decision. At the request of a Board Member, made at any time before the Chairmans decision is served, the petition will be referred to the Board for decision. 67 FR 60167, Sept. 25, 2002, as amended at 68 FR 8726, Feb. 25, 2003 1011.5 Employee boar

41、ds. This section covers matters assigned to the Accounting Board, a board of employees of the Board. VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00041 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking

42、 permitted without license from IHS-,-,-32 49 CFR Ch. X (10110 Edition) 1011.6 (a) The Accounting Board has au-thority: (1) To permit departure from general rules prescribing uniform systems of accounts for carriers and other persons under the Interstate Commerce Act, and from the regulations govern

43、ing ac-counting and reporting forms; (2) To prescribe rates of depreciation to be used by railroad and water car-riers; (3) To issue special authorizations permitted by the regulations governing the destruction of records of carriers subject to the Interstate Commerce Act; and (4) To grant extension

44、s of time for filing annual, periodic, and special re-ports in matters that do not involve taking testimony at a public hearing or the submission of evidence by oppos-ing parties in the form of affidavits. (b) The board may certify any matter assigned to it to the Board. 1011.6 Delegations of author

45、ity by the Chairman. (a)(1) This section provides for dele-gations of authority by the Chairman of the Surface Transportation Board to individual Board employees. (2) The Chairman of the Board may remove for disposition any matter del-egated under this section, and any matter delegated under this se

46、ction may be referred by the Board employee to the Chairman for disposition. (b) The Board will decide appeals from decisions of employees acting under authority delegated under this section. Appeals must be filed within 10 days after the date of the employees action, and replies must be filed withi

47、n 10 days after the due date for appeals. Appeals are not favored and will be granted only in exceptional cir-cumstances to correct a clear error of judgment or to prevent manifest injus-tice. (c)(1) As used in this paragraph, pro-cedural matter includes, but is not lim-ited to, the assignment of th

48、e time and place for hearing; the assignment of proceedings to administrative law judges; the issuance of decisions direct-ing special hearing procedures; the es-tablishment of dates for filing state-ments in cases assigned for hearing under modified (non-oral hearing) pro-cedure; the consolidation

49、of pro-ceedings for hearing or disposition; the postponement of hearings and proce-dural dates; the waiver of formal speci-fications for pleadings; and extensions of time for filing pleadings. It does not include interlocutory appeals from the rulings of hearing officers; nor does it include postponement of the effective date of: (i) Decisions pending judicial review, (ii) Decisions of the entire Board, (iii) Cease and desist orders, or (iv) Final decisions whe