DOT 49 CFR PART 1182-2010 PURCHASE MERGER AND CONTROL OF MOTOR PASSENGER CARRIERS.pdf

1、291 Surface Transportation Board, DOT 1182.2 levels required by 49 U.S.C. 11326, un-less a need is shown for greater levels of protection. (d) All applications, notices, and pe-titions for exemption within the scope of 1180.20(a) shall advise the Board that the proposed transaction involves the tran

2、sfer or operation of lines in re-organization. 57 FR 57112, Dec. 3, 1992; 57 FR 61585, Dec. 28, 1992, as amended at 62 FR 9717, Mar. 4, 1997 PART 1182PURCHASE, MERGER, AND CONTROL OF MOTOR PAS-SENGER CARRIERS Sec. 1182.1 Applications covered by this part. 1182.2 Content of applications. 1182.3 Filin

3、g the application. 1182.4 Board review of the application. 1182.5 Comments. 1182.6 Processing an opposed application. 1182.7 Interim approval. 1182.8 Miscellaneous requirements. 1182.9 Notices of exemption. AUTHORITY: 5 U.S.C. 559; 21 U.S.C. 853a; and 49 U.S.C. 13501, 13541(a), 13902(c), and 14303.

4、SOURCE: 63 FR 46397, Sept. 1, 1998, unless otherwise noted. 1182.1 Applications covered by this part. The rules in this part govern applica-tions for authority under 49 U.S.C. 14303 to consolidate, merge, purchase, lease, or contract to operate the prop-erties or franchises of motor carriers of pass

5、engers or to acquire control of motor carriers of passengers. There is no application form for these pro-ceedings. Applicants shall file a plead-ing containing the information de-scribed in 49 CFR 1182.2. See 49 CFR 1002.2(f) (2) and (5) for filing fees. 1182.2 Content of applications. (a) The appli

6、cation must contain the following information: (1) Full name, address, and author-ized signature of each of the parties to the transaction; (2) Copies or descriptions of the perti-nent operating authorities of all of the parties (NOTE: If an applicant is domi-ciled in Mexico or owned or controlled b

7、y persons of that country, copies of the actual operating authorities must be submitted.); (3) A description of the proposed transaction; (4) Identification of any motor pas-senger carriers affiliated with the par-ties, a brief description of their oper-ations, and a summary of the intercor-porate s

8、tructure of the corporate fam-ily from top to bottom; (5) A jurisdictional statement, under 49 U.S.C. 14303(g), that the 12-month ag-gregate gross operating revenues, in-cluding revenues of all motor carrier parties and all motor carriers control-ling, controlled by, or under common control with any

9、 party from all trans-portation sources (whether interstate, intrastate, foreign, regulated, or un-regulated) exceeded $2 million. (NOTE: The motor passenger carrier parties and their motor passenger carrier af-filiates may select a consecutive 12- month period ending not more than 6 months before t

10、he date of the parties agreement covering the transaction. They must, however, select the same 12-month period.) (6) A statement indicating whether the transaction will or will not signifi-cantly affect the quality of the human environment and the conservation of energy resources; (7) Information to

11、 demonstrate that the proposed transaction is consistent with the public interest, including par-ticularly: the effect of the proposed transaction on the adequacy of trans-portation to the public; the total fixed charges (e.g., interest) that result from the proposed transaction; and the in-terest o

12、f carrier employees affected by the proposed transaction. See 49 U.S.C. 14303(b); (8) Certification by applicant of the current U.S. Department of Transpor-tation safety fitness rating of each motor passenger carrier involved in the transaction, whether that carrier is a party to the transaction or

13、is affiliated with a party to the transaction; (9) Certification by the party acquir-ing any operating rights through the transaction that it has sufficient insur-ance coverage under 49 U.S.C. 13906 (a) and (d) for the service it intends to pro-vide; (10) A statement indicating whether any party acq

14、uiring any operating rights through the transaction is ei-ther domiciled in Mexico or owned or VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00301 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permi

15、tted without license from IHS-,-,-292 49 CFR Ch. X (10110 Edition) 1182.3 controlled by persons of that country; and (11) If the transaction involves the transfer of operating authority to an individual who will hold the authority in his or her name, that individual must complete the following certi

16、fi-cation: I, lllll, certify under penalty of per-jury under the laws of the United States, that I have not been convicted, after Sep-tember 1, 1989, of any Federal or State of-fense involving the distribution or possession of a controlled substance, or that I have been so convicted, but I am not in

17、eligible to re-ceive Federal benefits, either by court order or operation of law, pursuant to 21 U.S.C. 853a. (b) The application shall contain ap-plicants entire case in support of the proposed transaction, unless the Board finds, on its own motion or that of a party to the proceeding, that addi-ti

18、onal evidentiary submissions are re-quired to resolve the issues in a par-ticular case. (c) Any statements submitted on be-half of an applicant supporting the ap-plication shall be verified, as provided in 49 CFR 1182.8(e). Pleadings con-sisting strictly of legal argument, how-ever, need not be veri

19、fied. (d) If an application or supplemental pleading contains false or misleading information, the granted application is void ab initio. 1182.3 Filing the application. (a) Each application shall be filed with the Board, complying with the re-quirements set forth at 49 CFR 1182.8. (1) One copy of th

20、e application shall be delivered, by first-class mail, to the appropriate regulatory body in each State in which intrastate operations are affected by the transaction. (2) If the application involves the merger or purchase of motor passenger carriers (contemplating transfer of op-erating authorities

21、 or registrations from one or more parties to others), one copy of the application shall be de-livered, by first-class mail, to: Chief, Lic. or (2) Issue a procedural schedule speci-fying the dates by which: applicants may submit additional evidence in sup-port of the application, in response to the

22、 comment(s) in opposition; and the opposing commenter(s) may reply. (d) Further processing of an opposed application will be handled on a case- by-case basis, as appropriate to the particular issues raised in the com-ments filed in opposition to the appli-cation. Evidentiary proceedings must be conc

23、luded within 240 days after pub-lication of the notice of the applica-tion. 1182.7 Interim approval. (a) A party may request interim ap-proval of the operation of the prop-erties sought to be acquired through the proposed transaction, for a period of not more than 180 days pending de-termination of

24、the application. This re-quest may be included in the applica-tion or may be submitted separately after the application is filed (e.g., once a comment opposing the application has been filed). An additional filing fee is required, whether the request for in-terim approval is included in the appli-ca

25、tion or is submitted separately at a later time. See 49 CFR 1002.2(f)(5) for the additional filing fee. (b) A request for interim approval of the operation of the properties sought to be acquired in the application must show that failure to grant interim ap-proval may result in destruction of or inj

26、ury to those properties or substan-tially interfere with their future use-fulness in providing adequate and con-tinuous service to the public. (c) If a request for interim approval is submitted after the application is filed, it must be served on each person who files or has filed a comment in re-sp

27、onse to the published notice of the application. Service must be simulta-neous upon those commenters who are known when the request for interim approval is submitted; otherwise, serv-ice must be within 5 days after the comment is received by applicants or their representative. (d) Because the basis

28、for requesting interim approval is to prevent destruc-tion of or injury to motor passenger carrier properties sought to be ac-quired under 49 U.S.C. 14303, the proc-essing of such requests is intended to promote expeditious decisions regard-ing interim approval. The Board has no obligation to give p

29、ublic notice of re-quests for interim approval, and such requests are decided without hearing or other formal proceeding. (1) If a request for interim approval is included in the application, the Boards decision with regard to interim ap-proval will be served in conjunction with the notice accepting

30、 the applica-tion. (2) If an application is rejected, the request for interim approval will be de-nied. (3) If an application is denied, after comments in opposition are submitted, any interim approval will terminate 30 days after service of the decision deny-ing the application. VerDate Mar2010 15:

31、03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00303 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-294 49 CFR Ch. X (10110 Edition) 1182.8 (e) A petition to reconsider a grant of

32、interim approval may be filed only by a person who has filed a comment in opposition to the application. (1) A petition to reconsider a grant of interim approval must be in writing and shall state the specific grounds upon which the commenter relies in op-posing interim approval. The petition shall

33、certify that a copy has been served on applicants representative. (2) The original and 10 copies of the petition to reconsider a grant of in-terim approval shall be filed with the Board, and one copy of the petition shall be served on applicants rep-resentative(s). (f) The Board may act on a petitio

34、n to reconsider a grant of interim ap-proval either separately or in connec-tion with the final decision on the ap-plication. 1182.8 Miscellaneous requirements. (a) If applicants wish to withdraw an application, they shall jointly request dismissal in writing. (b) An original and 10 copies of all ap

35、-plications, pleadings, and other mate-rial filed under this part must be filed with the Board. (c) All pleadings (including motions and replies) submitted under this part shall be served on all other parties, concurrently and by the same (or more expeditious) means with which they are filed with th

36、e Board. (d) Each pleading shall contain a cer-tificate of service stating that the pleading has been served in accordance with paragraph (c) of this section. (e) All applications and pleadings containing statements of fact (i.e., ex-cept motions to strike, replies thereto, and other pleadings that

37、consist only of legal argument) must be verified by the person offering the statement, in the following manner: I, Name and Title of Witness, verify under penalty of perjury, under the laws of the United States of America, that all informa-tion supplied in connection with this appli-cation is true a

38、nd correct. Further, I certify that I am qualified and authorized to file this application or pleading. I know that willful misstatements or omissions of mate-rial facts constitute Federal criminal viola-tions punishable under 18 U.S.C. 1001 by im-prisonment up to five years and fines up to $10,000

39、for each offense. Additionally, these misstatements are punishable as perjury under 18 U.S.C. 1621, which provides for fines up to $2,000 or imprisonment up to five years for each offense. Signature and Date (f) If completion of a transaction re-quires the transfer of operating au-thorities or regis

40、trations from one or more parties to others, the parties shall comply with relevant procedures of the Office of Motor Carriers of the U.S. Department of Transportation, and comply with ministerial require-ments of relevant State procedures. 1182.9 Notices of exemption. (a) A transaction within a mot

41、or pas-senger corporate family is exempt from 49 U.S.C. 14303 if it does not result in adverse changes in service levels, sig-nificant operational changes, or a change in the competitive balance with motor passenger carriers outside the corporate family. The Board has found that its prior review and

42、 approval of these transactions is not necessary to carry out the transportation policy of 49 U.S.C. 13101; regulation is not nec-essary to protect shippers from abuse of market power; and an exemption is in the public interest. See 49 U.S.C. 13541(a). (b) To qualify for a class exemption, a party m

43、ust file a verified notice of the exempt transaction with the Board. The notice shall contain a brief sum-mary of the proposed transaction, the name of the applicants, their business address and telephone number, and the name of counsel to whom questions would be addressed. The notice shall describe

44、 the purpose of the transaction and give the proposed consummation date for the transaction, which must be at least 7 days after the filing of the notice. The notice shall describe any contracts or agreements that have been entered into, or will be entered into, concerning the transaction, and shall

45、 indicate the impact, if any, that the transaction would have on employ-ees. (c) The Board shall publish notice of the exemption in the FEDERAL REG-ISTER within 30 days from the filing of the verified notice of exemption. If the notice contains false or misleading in-formation, the Board shall summa

46、rily VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00304 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-295 Surface Transportation Board, DOT 1184.3 revoke the

47、exemption and require di-vestiture. Petitions to revoke the ex-emption under 49 U.S.C. 13541(d) may be filed at any time and will be granted upon a finding that the application of 49 U.S.C. 14303 to the person, class, or transportation is necessary to carry out the transportation policy of 49 U.S.C.

48、 13101. 65 FR 8281, Feb. 17, 2000 PART 1184MOTOR CARRIER POOLING OPERATIONS Sec. 1184.1 Scope and purpose. 1184.2 Contents of a pooling application. 1184.3 Processing pooling applications. AUTHORITY: 49 U.S.C. 721, 14302. SOURCE: 46 FR 21181, Apr. 9, 1981, unless otherwise noted. Redesignated at 47

49、FR 49595, Nov. 1, 1982. 1184.1 Scope and purpose. This statement of policy on motor carrier pooling applications imple-ments section 20 of the Motor Carrier Act of 1980 Pub. L. No. 96296, 94 Stat. 793. The Acts provisions are now con-tained at 49 U.S.C. 14302. 46 FR 21181, Apr. 9, 1981, as amended at 64 FR 53269, Oct. 1, 1999 1184.2 Contents of a pooling applica-tion. A pooling application filed under 49 U.S.C. 14302 should include the fol-lowing inform