1、116 49 CFR Ch. X (10110 Edition) 1106.5 than 60 days from the date the applica-tion is filed with the Board. (b) The proposed SIP shall be made part of the environmental record in the Board proceeding and dealt with in the ongoing environmental review process under 49 CFR part 1105. The procedures g
2、overning the process shall be as fol-lows: (1) In accordance with 49 CFR 244.17, FRA will provide its findings and con-clusions on the adequacy of the pro-posed SIP (i.e., assess whether the pro-posed SIP establishes a process that provides a reasonable assurance of safe-ty in executing the proposed
3、 trans-action) to SEA at a date sufficiently in advance of the Boards issuance of its draft environmental documentation in the case to permit incorporation in the draft environmental document. (2) The draft environmental docu-mentation shall incorporate the pro-posed SIP, any revisions or modifica-t
4、ions to it based on further consulta-tions with FRA, and FRAs written comments regarding the SIP. The pub-lic may review and comment on the draft environmental documentation within the time limits prescribed by SEA. (3) SEA will independently review each proposed SIP. In its final environ-mental doc
5、umentation, SEA will ad-dress written comments on the pro-posed SIP received during the time es-tablished for submitting comments on the draft environmental documenta-tion. The Board then will consider the full environmental record, including the information concerning the SIP, in arriving at its de
6、cision in the case. (4) If the Board approves the trans-action and adopts the SIP, it will re-quire compliance with the SIP as a condition to its approval. Each appli-cant involved in the transaction then shall coordinate with FRA in imple-menting the approved SIP, including any amendments thereto.
7、FRA has pro-vided in its rules at 49 CFR 244.17(g) for submitting information to the Board during implementation of an approved transaction that will assist the Board in exercising its continuing jurisdic-tion over the transaction. FRA also has agreed to advise the Board when, in its view, the integ
8、ration of the applicants operations has been safely completed. (c) If a SIP is required in trans-actions that would not be subject to environmental review under the Boards environmental rules at 49 CFR part 1105, the Board will develop appro-priate case-specific SIP procedures based on the facts and
9、 circumstances presented. 1106.5 Waiver. The SIP requirements established by this part may be waived or modified by the Board where a railroad shows that relief is warranted or appropriate. 1106.6 Reservation of Jurisdiction. The Board reserves the right to re-quire a SIP in cases other than those e
10、numerated in this part, or to adopt modified SIP requirements in indi-vidual cases, if it concludes that doing so is necessary in its proper consider-ation of the application or other re-quest for authority. PART 1107 RESERVED PART 1108ARBITRATION OF CER-TAIN DISPUTES SUBJECT TO THE STATUTORY JURISD
11、ICTION OF THE SURFACE TRANSPORTATION BOARD Sec. 1108.1 Definitions. 1108.2 Statement of purpose, organization, and jurisdiction. 1108.3 Matters subject to arbitration. 1108.4 Relief. 1108.5 Fees and costs. 1108.6 Arbitrators. 1108.7 Arbitration commencement proce-dures. 1108.8 Arbitration procedures
12、. 1108.9 Decisions. 1108.10 Precedent. 1108.11 Enforcement and appeals. 1108.12 Additional matters. AUTHORITY: 49 U.S.C. 721(a). SOURCE: 62 FR 46217, Sept. 2, 1997, unless otherwise noted. 1108.1 Definitions. (a) Arbitrator means an arbitrator ap-pointed pursuant to these provisions. (b) ICC means t
13、he Interstate Com-merce Commission. (c) Interstate Commerce Act means the Interstate Commerce Act as amended VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00126 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or ne
14、tworking permitted without license from IHS-,-,-117 Surface Transportation Board, DOT 1108.4 from time to time, including the amendments made by the ICC Termi-nation Act of 1995. (d) RSTAC means the Rail-Shipper Transportation Advisory Council es-tablished pursuant to 49 U.S.C. 726. (e) STB means th
15、e Surface Transpor-tation Board. (f) Statutory jurisdiction means the ju-risdiction conferred on the STB by the Interstate Commerce Act, including ju-risdiction over rail transportation or services that have been exempted from regulation. 1108.2 Statement of purpose, organi-zation, and jurisdiction.
16、 (a) These provisions are intended to provide a means for the binding, vol-untary arbitration of certain disputes subject to the statutory jurisdiction of the STB, either between two or more railroads subject to the jurisdiction of the STB or between any such railroad and any other person. (b) These
17、 procedures shall not be available to obtain the grant, denial, stay or revocation of any license, au-thorization (e.g., construction, aban-donment, purchase, trackage rights, merger, pooling) or exemption, or to prescribe for the future any conduct, rules, or results of general, industry- wide appl
18、icability. Nor are they avail-able for arbitration that is conducted pursuant to labor protective condi-tions. These procedures are intended for the resolution of specific disputes between specific parties involving the payment of money or involving rates or practices related to rail transpor-tation
19、 or service subject to the statu-tory jurisdiction of the STB. (c) The alternative means of dispute resolution provided for herein are es-tablished pursuant to the authority of the STB to take such actions as are necessary and appropriate to fulfill its jurisdictional mandate and not pursu-ant to th
20、e Administrative Dispute Res-olution Act, 5 U.S.C. 571 et seq. (d) On January 1, 1996, the STB re-placed the ICC. For purposes of these procedures, it is immaterial whether an exemption from regulation was granted by the ICC or the STB. 1108.3 Matters subject to arbitration. (a) Any controversy betw
21、een two or more parties, subject to resolution by the STB, and subject to the limitations in 1108.2 hereof, may be processed pur-suant to the provisions of this part 1108, if all necessary parties volun-tarily subject themselves to arbitra-tion under these provisions after notice as provided herein.
22、 (b) Arbitration under these provi-sions is limited to matters over which the STB has statutory jurisdiction and may include disputes arising in connec-tion with jurisdictional transportation, including service being conducted pur-suant to an exemption. An Arbitrator should decline to accept, or to
23、render a decision regarding, any dispute that exceeds the STBs statutory jurisdic-tion. Such Arbitrator may resolve any dispute properly before him/her in the manner and to the extent provided herein, but only to the extent of and within the limits of the STBs statu-tory jurisdiction. In so resolvin
24、g any such dispute, the Arbitrator will not be bound by any procedural rules or regu-lations adopted by the STB for the res-olution of similar disputes, except as specifically provided in this part 1108; provided, however, that the Arbitrator will be guided by the Interstate Com-merce Act and by STB
25、 and ICC prece-dent. 1108.4 Relief. (a) Subject to specification in the complaint, as provided in 1108.7 here-in, an Arbitrator may grant the fol-lowing types of relief: (1) Monetary damages, to the extent available under the Interstate Com-merce Act, with interest at a reason-able rate to be specif
26、ied by the Arbi-trator. (2) Specific performance of statutory obligations (including the prescription of reasonable rates), but for a period not to exceed 3 years from the effective date of the Arbitrators award. (b) A party may petition an Arbi-trator to modify or vacate an arbitral award in effect
27、 that directs future spe-cific performance, based on materially changed circumstances or the criteria for vacation of an award contained in 9 U.S.C. 10. VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00127 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvid
28、ed by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-118 49 CFR Ch. X (10110 Edition) 1108.5 (1) A petition to modify or vacate an award in effect should be filed with the STB. The petition will be assigned to the Arbitrator that rendered the award unless that
29、Arbitrator is unavailable, in which event the matter will be as-signed to another Arbitrator. (2) Any such award shall continue in effect pending disposition of the re-quest to modify or vacate. Any such re-quest shall be handled as expeditiously as practicable with due regard to pro-viding an oppor
30、tunity for the presen-tation of the parties views. 1108.5 Fees and costs. (a) Fees will be utilized to defray the costs of the STB in administering this alternate dispute resolution program in accordance with 31 U.S.C. 9701. The fees for filing a complaint, answer, third party complaint, third party
31、 an-swer, appeals of arbitration decisions, and petitions to modify or vacate an arbitration award will be as set forth in 49 CFR 1002.2(f)(87). All fees are non- refundable except as specifically pro-vided and are due with the paying par-tys first filing in any proceeding. (b) The parties may agree
32、 among themselves who will bear the expenses of arbitration, including compensation of the arbitrator. Absent an agreement, each party will bear its own expenses, including, without limitation, fees of experts or counsel. Absent an agree-ment, the fees of the Arbitrator will be paid by the party or
33、parties losing an arbitration entirely. If no party loses an arbitration entirely (as determined by the Arbitrator), the parties shall share equally (or pro rata if more than two parties) the fees and expenses, if any, of the Arbitrator, absent an agree-ment otherwise. 1108.6 Arbitrators. (a) Arbitr
34、ation shall be conducted by an arbitrator (or panel of arbitrators) selected, as provided herein, from a roster of persons (other than active government officials) experienced in rail transportation or economic issues similar to those capable of arising be-fore the STB. The initial roster of arbi-tr
35、ators shall be established by the RSTAC in consultation with the Chair-man of the STB, and shall contain not fewer than 21 names. The roster shall thereafter be maintained by the Chair-man of the STB, who may augment the roster at any time to include other eli-gible arbitrators and may remove from t
36、he roster any arbitrators who are no longer available. The initial roster shall be published; thereafter the ros-ter shall be available to the public, upon request, at all times. For each ar-bitrator on the roster, the roster shall disclose the level of the fee (or fee range) charged by that arbitra
37、tor. (b) The parties to a dispute may se-lect an arbitrator (or panel of arbitra-tors) and submit the name(s) (and, if not already on the roster of arbitra-tors, the qualifications) of the agreed- upon person(s) in writing to the Chair-man of the STB. Any person(s) so des-ignated who is not already
38、on the ros-ter, if found to be qualified, will be added to the roster and may be used as the arbitrator(s) for that dispute. (c) If the parties cannot agree upon an arbitrator (or panel of arbitrators), then each party shall, using the roster of arbitrators, strike through the names of any arbitrato
39、rs to whom they object, number the remaining arbitra-tors on the list in order of preference, and submit its marked roster to the Chairman of the STB. The Chairman will then designate the arbitrator (or panel of arbitrators, if mutually pre-ferred by the parties) in order of the highest combined ran
40、king of all of the parties to the arbitration. (d) The process of selecting an Arbi-trator pursuant to this section shall be conducted confidentially following the completion of the Arbitration Com-mencement Procedures set forth in 1108.7 hereof. (e) If, at any time during the arbitra-tion process,
41、a selected Arbitrator be-comes incapacitated, unwilling or un-able to fulfill his/her duties, or if both parties agree that the arbitrator should be replaced, a replacement Arbi-trator will be promptly selected under the process set forth in paragraphs (b) and (c) of this section. 1108.7 Arbitration
42、 commencement procedures. (a) Each demand for arbitration shall be commenced with a written com-plaint. Because arbitration under these VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00128 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for
43、ResaleNo reproduction or networking permitted without license from IHS-,-,-119 Surface Transportation Board, DOT 1108.7 procedures is both voluntary and bind-ing, the complaint must set forth in de-tail: the nature of the dispute; the stat-utory basis of STB jurisdiction; a clear, separate statement
44、 of each issue as to which arbitration is sought; and the specific relief sought. Each complaint shall contain a sworn, notarized verification, by a responsible official of the complaining party, that the factual allegations contained in the complaint are true and accurate. Each complaint must conta
45、in a statement that the complainant is willing to arbitrate pur-suant to these arbitration rules and be bound by the result thereof in accord-ance with those rules, and must con-tain a demand that the defendants likewise agree to arbitrate and be so bound. (b) The complaining party shall serve, by o
46、vernight mail or hand deliv-ery, a signed and dated original of the complaint on each defendant (on a re-sponsible official at his or her usual place of business), and an original and two copies on the STB, accompanied by the filing fee prescribed under 1108.5(a) and set forth in 49 CFR 1002.2(f)(87
47、). Each complaint served on a defendant shall be accompanied by a copy of this part 1108. (c) Any defendant willing to enter into arbitration under these rules must, within 30 days of the date of a complaint, answer the complaint in writing. The answer must contain a statement that the defendant is
48、willing to arbitrate each arbitration issue set forth in the complaint or specify which such issues the defendant is willing to arbitrate. If the answer contains an agreement to arbitrate some but not all of the arbitration issues in the com-plaint, the complainant will have 10 days from the date of
49、 the answer to ad-vise the defendant and the STB in writ-ing whether the complainant is willing to arbitrate on that basis. Upon the agreement of the parties to arbitrate, these rules will be deemed incorporated by reference into the arbitration agree-ment. (d) The answer of a party willing to arbitrate shall also contain that par-tys specific admissions or denials of each factual allegation contained in the complaint, affirmative defenses, and any counter
