DOT 49 CFR PART 1150-2010 CERTIFICATE TO CONSTRUCT ACQUIRE OR OPERATE RAILROAD LINES.pdf

1、184 49 CFR Ch. X (10110 Edition) Pt. 1150 by filing an appropriate petition con-taining: (i) A full explanation, together with all supporting evidence, to dem-onstrate that the standard for relief contained in paragraph (a) of this sec-tion is met; (ii) A summary of the petitioners discussions with

2、the incumbent carrier of the service problems and the reasons why the incumbent carrier is unlikely to restore adequate rail service con-sistent with current transportation needs within a reasonable period of time; (iii) A commitment from another available railroad to provide alter-native service th

3、at would meet current transportation needs (or, if the peti-tioner is a railroad and does not have an agreement from the alternative car-rier, an explanation as to why it does not), and an explanation of how the al-ternative service would be provided safely without degrading service to the existing

4、customers of the alternative carrier and without unreasonably interfering with the incumbents over-all ability to provide service; and (iv) A certification of service of the petition, by hand or by overnight deliv-ery, on the incumbent carrier, the pro-posed alternative carrier, and the Fed-eral Rai

5、lroad Administration. (2) Reply. The incumbent carrier must file a reply to a petition under this paragraph within thirty (30) days. (3) Rebuttal. The party requesting re-lief may file rebuttal no more than fif-teen (15) days later. (c)(1) Petition to terminate relief. Should the Board prescribe alt

6、ernative rail service under paragraph (a) of this section, the incumbent carrier may subsequently file a petition to termi-nate that relief. Such a petition shall contain a full explanation, together with all supporting evidence, to dem-onstrate that the carrier is providing, or is prepared to provi

7、de, adequate service to affected shippers. Carriers are admonished not to file such a peti-tion prematurely. (2) Reply. Parties must file replies to petitions to terminate filed under this subsection within five (5) business days. (3) Rebuttal. The incumbent carrier may file any rebuttal no more tha

8、n three (3) business days later. (d) Service. All pleadings under this part shall be served by hand or by over-night delivery on the Board, other par-ties, and the Federal Railroad Adminis-tration. 63 FR 71401, Dec. 28, 1998 PARTS 11481149 RESERVED Parts 11501174Licensing Procedures Parts 11501159Ra

9、il Licensing Procedures PART 1150CERTIFICATE TO CON-STRUCT, ACQUIRE, OR OPERATE RAILROAD LINES Subpart AApplications Under 49 U.S.C. 10901 Sec. 1150.1 Introduction. 1150.2 Overview. 1150.3 Information about applicant(s). 1150.4 Information about the proposal. 1150.5 Operational data. 1150.6 Financia

10、l information. 1150.7 Environmental and energy data. 1150.8 Additional support. 1150.9 Notice. 1150.10 Procedures. Subpart BDesignated Operators 1150.11 Introduction. 1150.12 Information about the designated operator. 1150.13 Relevant dates. 1150.14 Proposed service. 1150.15 Information about offero

11、r. 1150.16 Procedures. Subpart CModified Certificate of Public Convenience and Necessity 1150.21 Scope of rules. 1150.22 Exemptions and common carrier sta-tus. 1150.23 Modified certificate of public con-venience and necessity. 1150.24 Termination of service. Subpart DExempt Transactions Under 49 U.S

12、.C. 10901 1150.31 Scope of exemption. VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00194 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-185 Surface Transportat

13、ion Board, DOT 1150.3 1150.32 Procedures and relevant dates transactions that involve creation of Class III carriers. 1150.33 Information to be contained in no-ticetransactions that involve creation of Class III carriers. 1150.34 Caption summarytransactions that involve creation of Class III car-rie

14、rs. 1150.35 Procedures and relevant dates transactions that involve creation of Class I or Class II carriers. 1150.36 Exempt construction of connecting track. Subpart EExempt Transactions Under 49 U.S.C. 10902 for Class III Rail Carriers 1150.41 Scope of exemption. 1150.42 Procedures and relevant da

15、tes for small line acquisitions. 1150.43 Information to be contained in no-tice for small line acquisitions. 1150.44 Caption summary. 1150.45 Procedures and relevant dates transactions under section 10902 that in-volve creation of Class I or Class II rail carriers. AUTHORITY: 49 U.S.C. 721(a), 10502

16、, 10901, and 10902. SOURCE: 47 FR 8199, Feb. 25, 1982, unless otherwise noted. Redesignated at 47 FR 49581, Nov. 1, 1982. Subpart AApplications Under 49 U.S.C. 10901 1150.1 Introduction. (a) When an application is required. This subpart governs applications under 49 U.S.C. 10901 for a certificate of

17、 public convenience and necessity au-thorizing the construction, acquisition or operation of railroad lines. Noncar-riers require Board approval under sec-tion 10901 to construct, acquire or oper-ate a rail line in interstate commerce. Existing carriers require approval under section 10901 only to c

18、onstruct a new rail line or operate a line owned by a noncarrier, since acquisition by a carrier of an active rail line owned by a carrier is covered by 49 U.S.C. 11323. We have exempted from these require-ments the acquisition by a State entity of a rail line that has been approved for abandonment,

19、 as well as operations over these lines. See subpart C of this part. In addition, where appropriate, we have granted individual exemptions from these certification requirements. See 49 U.S.C. 10502. (b) Content of the application. Applica-tions filed under this subpart shall in-clude the information

20、 set forth in 1150.2 through 1150.9. The applicant must also comply with the Energy and Environmental Regulations at 49 CFR parts 1106 and 1105 (including con-sulting with the Boards Section of En-vironmental Analysis at least 6 months prior to filing an application, to begin the scoping process to

21、identify environ-mental issues and outline procedures for analysis of this aspect of the pro-posal). 47 FR 8199, Feb. 25, 1982, as amended at 64 FR 53268, Oct. 1, 1999; 69 FR 58366, Sept. 30, 2004 1150.2 Overview. (a) A brief narrative description of the proposal. (b) The full name and address of ap

22、-plicant(s). 1150.3 Information about appli-cant(s). (a) The name, address, and phone number of the representative to receive correspondence concerning this appli-cation. (b) Facts showing that applicant is either a common carrier by railroad or has been organized to implement the proposal for which

23、 approval is being sought. (c) A statement indicating whether the rail line will be operated by appli-cant. If not, the operator which has been selected must join in the applica-tion, and provide all information re-quired for an applicant. If the operator has not yet been selected, state who is bein

24、g considered. (d) A statement indicating whether applicant is affiliated by stock owner-ship or otherwise with any industry to be served by the line. If so, provide de-tails about the nature and extent of the affiliation. (e) Date and place of organization, applicable State statutes, and a brief des

25、cription of the nature and objec-tives of the organization. (f) If a corporation, submit: (1) A list of officers, directors, and 10 principal stockholders of the corpora-tion and their respective holdings. A statement whether any of these offi-cers, directors or major shareholders VerDate Mar2010 15

26、:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00195 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-186 49 CFR Ch. X (10110 Edition) 1150.4 control other regulated carriers. Also

27、a list of entities, corporation(s) indi-vidual(s), or group(s) who control appli-cant, the extent of control, and wheth-er any of them control other common carriers. (2) As exhibit A, any resolution of the stockholders or directors authorizing the proposal. (g) If a partnership or individual, sub-mi

28、t the name and address of all general partners and their respective interests, and whether any of them control other carriers. (h) If applicant is an entity other than as described in paragraphs (e) or (f) of this section, submit name, title, and business address of principals or trustee, and whethe

29、r the entity con-trols any other common carriers. (i) If applicant is a trustee, receiver, assignee, or a personal representative of the real party in interest, details about the appointment (including sup-porting documents, such as the court order authorizing the appointment and the filing) and abo

30、ut the real party in interest. (j) If applicant is an existing carrier, it may satisfy the informational re-quirements of paragraphs (f) through (i) of this section by making appro-priate reference to the docket number of prior applications that have been filed within the previous three years in whi

31、ch the information has been sub-mitted. 1150.4 Information about the pro-posal. (a) A description of the proposal and the significant terms and conditions, including consideration to be paid (monetary or otherwise). As exhibit B, copies of all relevant agreements. (b) Details about the amount of tra

32、f-fic and a general description of com-modities. (c) The purposes of the proposal and an explanation of why the public con-venience and necessity require or per-mit the proposal. (d) As exhibit C, a map which clearly delineates the area to be served includ-ing origins, termini and stations, and citi

33、es, counties and States. The map should also delineate principal high-ways, rail routes and any possible interchange points with other rail-roads. If alternative routes are pro-posed for construction, the map should clearly indicate each route. (e) A list of the counties and cities to be served unde

34、r the proposal, and whether there is other rail service available to them. The names of the railroads with which the line would connect, and the proposed connecting points; the volume of traffic estimated to be interchanged; and a description of the principal terms of agreements with carriers coveri

35、ng operation, inter-change of traffic, division of rates or trackage rights. (f) The time schedule for consumma-tion or completion of the proposal. (g) If a new line is proposed for con-struction: (1) The approximate area to be served by the line. (2) The nature or type of existing and prospective i

36、ndustries (e.g., agri-culture, manufacturing, mining, warehousing, forestry) in the area, with general information about the age, size, growth potential and pro-jected rail use of these industries. (3) Whether the construction will cross another rail line and the name of the railroad(s) owning the l

37、ine(s) to be crossed. If the crossing will be accom-plished with the permission of the rail-road(s), include supporting agreements. If a Board determination under 49 U.S.C. 10901(d)(1) will be sought, in-clude such requests. 1150.5 Operational data. As exhibit D, an operating plan, in-cluding traffi

38、c projection studies; a schedule of the operations; information about the crews to be used and where employees will be obtained; the rolling stock requirements and where it will be obtained; information about the op-erating experience and record of the proposed operator unless it is an oper-ating ra

39、ilroad; any significant change in patterns of service; any associated discontinuance or abandonments; and expected operating economies. 1150.6 Financial information. (a) The manner in which applicant proposes to finance construction or ac-quisition, the kind and amount of secu-rities to be issued, t

40、he approximate terms of their sale and total fixed VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00196 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-187 Surfac

41、e Transportation Board, DOT 1150.10 charges, the extent to which funds for financing are now available, and whether any of the securities issued would be underwritten by industries to be served by the proposed line. Explain how the fixed charges will be met. (b) As exhibit E a recent balance sheet.

42、As exhibit F, an income state-ment for the latest available calendar year prior to filing the application. (c) A present value determination of the full costs of the proposal. If con-struction is proposed, the costs for each year of such construction (in a short narrative or by chart). (d) A stateme

43、nt of projected net in-come for 2 years, based upon traffic projections. Where construction is con-templated, the statement should rep-resent the 2 years following completion of construction. 1150.7 Environmental and energy data. As exhibit H, information and data prepared under 49 CFR Part 1105, an

44、d the Revision of the Natl. Guidelines Environmental Policy Act of 1969, 363 I.C.C. 653 (1980), and in accordance with Implementation of the Energy Policy and Conservation Act of 1975, 49 CFR Part 1106. 1150.8 Additional support. Any additional facts or reasons to show that the public convenience an

45、d necessity require or permit approval of this application. The Board may re-quire additional information to be filed where appropriate. 1150.9 Notice. A summary of the proposal which will be used to provide notice under 1150.10(f). 1150.10 Procedures. (a) Waivers. Prior to filing an applica-tion, p

46、rospective applicants may seek an advance waiver, either on a perma-nent or temporary basis, of required in-formation which is unavailable or not necessary or useful in analysis of the proposal. However, if the information is clearly not applicable to the indi-vidual proposal, a waiver is not nec-es

47、sary and need not be sought. A peti-tion must specify the sections for which waiver or clarification is sought and the reasons why it should be grant-ed. No replies will be permitted. Par-ties may, upon an appropriate showing, demonstrate their need to examine data which have previously been waived.

48、 In such circumstances, the Board only requires that it be produced under 1150.8 above. (b) Filing procedures. The original and 10 copies of the application and all doc-uments shall be filed with the Chief, Section of Administration, Office of Proceedings. A filing fee in the amount set forth in 49

49、CFR 1002.2(f) is required to file an application. Copies of docu-ments shall be furnished promptly to interested parties upon request. The application shall include a stamped self-addressed envelope to be used to notify applicant of the docket number. Additionally, if possible, telephonic communication of the docket number shall be made. (c) Signatures. The original of the ap-plication shall be signed by applicants (if a partnership,