1、88 49 CFR Ch. X (10110 Edition) 1101.3 (1) An informal complaint filed under 1130.1, or 1130.3 or a formal complaint alleging violation of any provision of the Act or of any regulation or require-ment made pursuant to a power grant-ed by such Act, including petitions on special dockets; (2) An appli
2、cation for (i) the granting of any right, privilege, authority, or re-lief under or from any provision of the Act or of any regulation or require-ment made pursuant to a power grant-ed by such Act, or (ii) the consider-ation of any submission required by law to be made to the Board; (3) An investiga
3、tion instituted by the Board; (4) A rulemaking proposal instituted by the Board; or (5) A petition for exemption filed under 49 U.S.C. 10502 requesting the Board to exempt from application all or part of subtitle IV of title 49 of the United States Code any person, class of persons, transaction, or
4、service related to a rail carrier. 47 FR 49548, Nov. 1, 1982, as amended at 50 FR 30275, July 25, 1985; 64 FR 53267, Oct. 1, 1999; 69 FR 58365, Sept. 30, 2004 1101.3 Construction. The rules of construction contained in chapter 1 of title 1 of the United States Code (1 U.S.C. 1 et seq.) apply in this
5、 chapter. Among other things, they provide that the singular includes the plural, and vice versa; that the mas-culine includes the feminine; that the word person includes corporations, associations, and the like; that coun-ty includes parish and similar sub-divisions; and that company includes succe
6、ssors and assigns. PART 1102COMMUNICATIONS Sec. 1102.1 How addressed. 1102.2 Ex parte communications prohibited; penalties provided. AUTHORITY: 49 U.S.C. 721. 1102.1 How addressed. All communications should be ad-dressed to the Chief, Section of Admin-istration, Office of Proceedings, Sur-face Trans
7、portation Board, Wash-ington, DC 204230001 unless otherwise specifically directed by another Board regulation. All communications should designate the docket number and title, if any. The person communicating shall state his address, and the party he represents. 74 FR 52905, Oct. 15, 2009 1102.2 Ex
8、parte communications pro-hibited; penalties provided. (a) Definitions. (1) On-the-record pro-ceeding means any matter described in Sections 556557 of the Administra-tive Procedure Act (5 U.S.C. 556557) or any matter required by the Constitu-tion, statute, Board rule, or by decision in the particular
9、 case, that is decided solely on the record made in a Board proceeding. (2) Person who intercedes in any proceeding means any person, part-nership, corporation, or association, private or public, outside of the Board which is neither a party nor partys agent, that volunteers a communica-tion that it
10、 has reason to know may advance or adversely affect the interest of a party or partys agent in any pro-ceeding before the Board. (3) Ex Parte communication con-cerning the merits means an oral or written communication by or on the behalf of a party which is made with-out the knowledge or consent of
11、any other party that could or is intended to influence anyone who participates or could reasonably be expected to par-ticipate in the decision. (b) Communications that are not pro-hibited. (1) Any communication to which all the parties to the proceeding agree, or on which the Board formally rules, m
12、ay be made on an ex parte basis; (2) Any communication of facts or contention which has general signifi-cance for a regulated industry if the communicator cannot reasonably be expected to have known that the facts or contentions are material to a sub-stantive issue in a pending on-the- record procee
13、ding in which it is inter-ested; (3) Any communication by means of the news media that in the ordinary course of business of the publisher is intended to inform the general public, members of the organization involved, or subscribers to such publication with VerDate Mar2010 15:03 Nov 23, 2010 Jkt 22
14、0219 PO 00000 Frm 00098 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-89 Surface Transportation Board, DOT Pt. 1103 respect to pending on-the-record pro-ceedings. (c) Prohi
15、bitions. (1) No party, counsel, agent of a party, or person who inter-cedes in any on-the-record proceeding shall engage in any ex parte commu-nication concerning the merits of the proceeding with any Board Member, hearing officer, joint board member, employee board member or employee of the Board w
16、ho participates, or who may reasonably be expected to partici-pate, in the decision in the proceeding. (2) No Board Member, hearing officer, joint board member, employee board member or employee of the Board who participates, or is reasonably expected to participate, in the decision in an on- the-re
17、cord proceeding shall invite or knowingly entertain any ex parte com-munication concerning the merits of a proceeding or engage in any such com-munication to any party, counsel, agent of a party, or person reasonably expected to transmit the communica-tion to a party or partys agent. (d) When prohib
18、itions take effect. The prohibitions against ex parte commu-nications concerning the merits of a proceeding apply from the date on which a proceeding is noticed for oral hearing or for the taking of evidence by modified procedure, or when the person responsible for the communica-tion has knowledge t
19、hat the proceeding will be so noticed, or at any time the Board, by rule or decision, specifies. (e) Procedure required of Board mem-bers and employees upon receipt of ex parte communications concerning the mer-its of a proceeding. Any person who re-ceives an ex parte communication con-cerning the m
20、erits of a proceeding must promptly transmit either the written communication, or a written summary of the oral communication with an outline of the surrounding cir-cumstances to the Chief, Section of Ad-ministration, Office of Proceedings, Surface Transportation Board. The Section Chief shall place
21、 all of the ma-terial in the correspondence section of the public docket of the proceeding. A recipient of such ex parte communica-tion, who has doubt as to the nature of the communication, may request a rul-ing on the question from the Boards Designated Agency Ethics Official. The Designated Agency
22、 Ethics Official shall promptly reply to such requests. The Chief, Section of Administration, Office of Proceedings, shall promptly notify the Chairman of the Board of such ex parte communications sent to the Section Chief. The Designated Agency Ethics Official shall promptly notify the Chairman of
23、all requests for rulings sent to the Designated Agency Ethics Official. The Chairman may re-quire that any communication be placed in the correspondence section of the docket when fairness requires that it be made public, even if it is not a prohibited communication. The Chair-man may direct the tak
24、ing of such other action as may be appropriate under the circumstances. (f) Sanctions. (1) The Board may cen-sure, suspend, or revoke the privilege of practicing before the agency of any person who knowingly and willfully en-gages in or solicits prohibited ex parte communication concerning the merit
25、s of a proceeding. (2) The relief or benefit sought by a party to a proceeding may be denied if the party, or his agent knowingly and willfully violates the foregoing rules. (3) The Board may censure, suspend, dismiss, or institute proceedings to suspend or dismiss any Board employee who knowingly a
26、nd willfully violates the foregoing rules. 47 FR 49548, Nov. 1, 1982, as amended at 58 FR 42027, Aug. 6, 1993; 74 FR 52905, Oct. 15, 2009 PART 1103PRACTITIONERS Subpart AGeneral Information Sec. 1103.1 Register of practitioners. 1103.2 Attorneys-at-lawqualifications and requirements to practice befo
27、re the Board. 1103.3 Persons not attorneys-at-lawquali-fications and requirements for practice before the Board. 1103.4 Initial appearances. 1103.5 Discipline. Subpart BCanons of Ethics 1103.10 Introduction. VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00099 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-
