1、264 49 CFR Ch. X (10110 Edition) Pt. 1177 (a) An entity that petitions for a modification or amendment requesting an expansion of federal preemption or the facilitys operations or physical size is subject to the notice and appli-cation requirements in this subpart C. The language of the notification
2、s shall be modified to note that the petition is for a modification or amendment. (b) The Board will approve or deny petitions to modify, amend, or revoke a land-use-exemption permit within 90 days after the full record for the peti-tion is developed. PARTS 11561176 RESERVED Parts 11771199Finance Pr
3、ocedures Parts 11771179Securities, Secu-rity Interests and Financial Struc-tures PART 1177RECORDATION OF DOCUMENTS Sec. 1177.1 Definitions and classifications of doc-uments. 1177.2 To whom documents should be sub-mitted for recordation. 1177.3 Requirements for submission. 1177.4 Sample forms. 1177.5
4、 Administrative procedure. AUTHORITY: 49 U.S.C. 721, 11301. SOURCE: 46 FR 54946, Nov. 5, 1981, unless otherwise noted. Redesignated at 47 FR 49592, Nov. 1, 1982. 1177.1 Definitions and classifications of documents. (a) A primary document is a mort-gage (excluding those under the Ship Mortgage Act of
5、 1920, as amended46 U.S.C. et seq.), lease, equipment trust agreement, conditional sales agree-ment, assignment of a lease or leases which have not previously been filed, or other instrument evidencing the mortgage, lease, conditional sale, or bailment of one or more vessels oper-ated subject to Sur
6、face Transportation Board jurisdiction, railroad cars, loco-motives, or other rolling stock for a use related to interstate commerce. (b) A secondary document is any assignment of rights or interest, sup-plement, or amendment to any primary or other secondary document. These in-clude releases, disch
7、arges, or satisfac-tions, either total or partial. 1177.2 To whom documents should be submitted for recordation. Documents to be recorded shall be submitted in person, via the Boards website, or by mail addressed to the Chief, Section of Administration, Of-fice of Proceedings, Surface Transpor-tatio
8、n Board, Washington, DC 20423 0001. All documents submitted by mail should clearly state Documents for Recordation on the envelope. 74 FR 52910, Oct. 15, 2009 1177.3 Requirements for submission. In order to be accepted for recorda-tion, an original of any primary or sec-ondary document must: (a) Be
9、in writing and executed by the parties to the document, and acknowl-edged or verified either in a form: (1) Authorized by the law of the state, territory, district or possession where executed for the acknowledge-ment or verification of deeds of land; or (2) Substantially as follows: INDIVIDUAL FORM
10、 OF ACKNOWLEDGEMENT I, (name of signor), certify that I am the person described in and who executed the foregoing instrument and that I acknowledge that I executed the same as my free act and deed. I further declare (certify, verify or state) under penalty of perjury (under the laws of the United St
11、ates of America if exe-cuted outside the United States) that the foregoing is true and correct. Executed on (date). Signature. or; CORPORATE FORM OF ACKNOWLEDGEMENT I, (name of signor), certify that I am (title of office) of (name of corporation), that the seal affixed to the foregoing instrument is
12、 the corporate seal of said corporation, that the instrument was signed and sealed on be-half of the corporation by authority of its Board of Directors, and that I acknowledge that the execution of the foregoing instru-ment was the free act and deed of the cor-poration. I further declare (certify, v
13、erify or state) under penalty of perjury (under the laws of the United States of America if exe-cuted outside the United States of America) that the foregoing is true and correct. Exe-cuted on (date). VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00274 Fmt 8010 Sfmt 8010 Y:SGML220219.XX
14、X 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-265 Surface Transportation Board, DOT 1177.3 Signature. or; (3) Substantially as follows: INDIVIDUAL FORM OF ACKNOWLEDGEMENT State of llllllllllllll County of l
15、llllllllllll, ss: On this lllllll day of llllllll, 19ll, before me, personally appeared (name of signor), to me known to be the person described in and who executed the foregoing instrument and (s)he acknowl-edged that (s)he executed the same as his/her free act and deed. (SEAL) llllllllllllllllllll
16、llllSignature of Notary Public My Commission expires lllllllllllCorporate Form of Acknowledgement State of llllllllllllll lllllCounty of lllllllllllll, ss: lllOn this lllllll day of lllllllllll, 19ll before me per-sonally appeared (name of signor), to me per-sonally known, who being by me duly sworn
17、, says that (s)he is the (title of office) of (name of corporation), that the seal affixed to the foregoing instrument is the corporate seal of said corporation, that said instrument was signed and sealed on behalf of said corpora-tion by authority of its Board of Directors, and (s)he acknowledged t
18、hat the execution of the foregoing instrument was the free act and deed of said corporation. (SEAL) llllllllllllllllllllllllSignature of Notary Public My Commission expires lllllllllll(b) Be accompanied by at least one fully executed and acknowledged or verified counterpart, or if no counter-part ha
19、s been executed and acknowl-edged by the parties, one certified true copy. A certified true copy of an origi-nal document is a complete and iden-tical copy in all respects to the origi-nal attached with: (1) A certificate executed by a notary public, stating that he or she has com-pared the copy wit
20、h the original and has found the copy to be complete and identical in all respects to the original document; or (2) A certification of the filer stating that he or she has compared the copy with the original and found the copy to be complete and identical in all re-spects to the original document an
21、d that he or she declares under penalty of perjury (under the laws of the United States of America if executed outside the United States) that the foregoing is true and correct; or (3) There may be attached to the copy, affidavits, wherein the affidavit states that he or she has compared the copy wi
22、th the original document and found the copy to be complete and identical in all respects to the original documents. (c) Be accompanied by the fee set forth in 49 CFR 1002.2(f)(83). However, assignments which are executed prior to the filing of the primary document and which are submitted concurrentl
23、y will be treated along with the primary document as one for fee purposes and will be assessed only one fee. A lease and agreement (Philadelphia Plan) shall be similarly treated. (d) Be accompanied by a letter of transmittal requesting the recording of the document. For a sample of a letter, see 117
24、7.4. Documents submitted con-currently under the same recordation number may be included in a single transmittal letter. Otherwise, each document must have its own letter of transmittal. The letter should be ad-dressed to the Chief, Section of Admin-istration, Office of Proceedings and in-clude the
25、following information: (1) Type of Agreement. (equipment trust, mortgage, assignment, etc.). (2) Whether document is a primary doc-ument or a secondary document (see 1177.1). If the document is a secondary document, it must contain the recorda-tion number of the primary document to which it is conne
26、cted, unless it is being filed concurrently with a pri-mary document to which a recordation number has not yet been assigned. (3) A request for cross-indexing. If the document is an assignment, parties may request the listing of the assign-ment in the index under the name(s) of parties with continui
27、ng interest not in-volved in this particular assignment. (4) A description of the equipment cov-ered in the document(i) For railway equipmentThe type of equipment; whether locomotives, cars, or other rolling stock; with any A.A.R. mechan-ical designation; the number of each type; any identifying mar
28、ks such as VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00275 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-266 49 CFR Ch. X (10110 Edition) 1177.4 the name o
29、r initials of the lessee, mortgagee, or vendee, and the road or serial number, or if more than one for each type of equipment, the first and last inclusive numbers. (ii) For water carrier equipment Whether tow boats, barges or other vessels; type of equipment; description as contained in the United
30、States Coast Guard certificate of enrollment; number of each type of equipment; and any identifying marks such as the name or initial of the lessee, mort-gagee, or vendee. (5) Parties to the agreement, as fol-lows: (i) Conditional sale-vendor, pur-chaser, guarantor. (ii) Mortgagemortgagor, mort-gage
31、e, guarantor. (iii) Equipment Trustvendor, trust-ee, lessor, lessee, guarantor of lease. (iv) Leaselessee, lessor, guarantor. (v) Bailmentbailor, bailee, guar-antor. (vi) Other transactionsprincipal debtor, trustee, guarantor, and other parties. (6) Parties to whom original docu-ment should be retur
32、ned. (7) The amount of the enclosed fee. (8) A short summary (1 or 2 sen-tences) of the type of document and a very brief description of the equipment and identifying numbers. This sum-mary will be entered into the index as an aid to researching the encum-brances to title. (For a sample of a summary
33、, see 1177.4). (9) The letter must be signed by an executive officer of one of the parties having knowledge of the matters de-scribed in the letter, or their attorney or representative in fact. NOTE: If the document is a mortgage or deed of trust which contains a hereafter ac-quired or similar claus
34、e, the following statement may be included in the letter of transmittal in lieu of the equipment descrip-tion above: Included in the property covered by the aforesaid mortgage (or deed of trust) are (here identify generally the equipment such as barges, tow boats, or other vessels, rail-road cars, l
35、ocomotives and other rolling stock) intended for use related to interstate commerce, or interests therein, owned by (name of mortgagor) at the date of said mortgage or thereafter acquired by it or its successors as owners of the water carriers or the lines of railway covered by the mort-gage. When s
36、uch a mortgage or deed of trust is filed, it is not necessary to refile the document whenever additional rolling stock is acquired in order to perfect the lien of the document upon the addi-tion of vessels or rolling stock. (Authority: 5 U.S.C. 553, 31 U.S.C. 9701; 49 U.S.C. 10321) 46 FR 54946, Nov.
37、 5, 1981. Redesignated at 47 FR 49592, Nov. 1, 1982 and amended at 52 FR 46484, Dec. 8, 1987; 56 FR 10520, Mar. 13, 1991; 56 FR 12423, Mar. 25, 1991; 64 FR 53268, Oct. 1, 1999; 74 FR 52910, Oct. 15, 2009 1177.4 Sample forms. (a) Sample short summary for the Index. (1) Primary documents. Type of docu
38、ment between name and address of lessor, mortgagor, bailor, etc. and name and address of lessee, mort-gagee, bailee, etc. dated date, and covering briefly list amount and types of equipment. (2) Secondary documents. (i) If an as-signmentAssignment between name and address of assignor and name and ad
39、dress of assignee dated date of as-signment and covering list amount and types of equipment, and connected to type of document primary docu-ment is with Recordation No. rec-ordation number of the primary docu-ment if known, at time recorded. (ii) Other secondary documents Type of document to type of
40、 primary document with Recordation No. Rec-ordation number of the primary docu-ment, dated date of amendment, sup-plement, release, etc. and covering list amount and types of equipment. (b) Sample Letter of Transmittal. Chief, Section of Administration, Office of Proceedings Name Chief, Section of A
41、dmin-istration, Office of Proceedings, Surface Transportation Board, Washington, DC. Dear Section Chief: I have enclosed an original and one copy/counterpart of the doc-ument(s) described below, to be recorded pur-suant to Section 11301 of Title 49 of the U.S. Code. This document is a mortgage, leas
42、e, equip-ment trust, supplement, etc., a primary or secondary document, dated date. (If a secondary document)The primary document to which this is connected is re-corded under Recordation No. ll. (If an assignment)We request that this assignment be cross-indexed. VerDate Mar2010 15:03 Nov 23, 2010 J
43、kt 220219 PO 00000 Frm 00276 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-267 Surface Transportation Board, DOT Pt. 1180 The names and addresses of the parties to the docu
44、ments are as follows: Vendor, Lessor, Mortgagor, etc: name and address Vendee, Lessee, Mortgagee, etc: name and address. A description of the equipment covered by the document follows: Type of equipment, amount of each, AAR designation if any, identifying marks, road or serial numbers, etc., as outl
45、ined in 1177.3(d)(4). A fee of llllll is enclosed. Please re-turn the original and any extra copies not needed by the Board for recordation to party to whom documents should be re-turned. A short summary of the document to ap-pear in the index follows: a short summary as described in 1177.4(a).). Ve
46、ry truly yours, llllllllllllllllllllllllsignature of an executive officer of one of the parties, their attorney, or representative in fact. 46 FR 54946, Nov. 5, 1981 as amended at 64 FR 53268, Oct. 1, 1999; 74 FR 52910, Oct. 15, 2009 1177.5 Administrative procedure. (a) At the time of filing of a do
47、cu-ment with the Board for recordation, a consecutive number will be stamped upon the original document and upon the copies or the counterparts, with the date and hour of the filing. A nota-tion acknowledging that the document has been filed pursuant to 49 U.S.C. 11303 will be made. The original doc
48、u-ment, along with the notation, will be returned to the party named in the transmittal letter and a copy or coun-terpart will be retained by the Board. For a secondary document, the number assigned will be the recordation num-ber of the primary document plus the next available letter suffix. (b) Th
49、e Board will maintain an index for public use as required by 49 U.S.C 11303(b). There will be an index of par-ties to documents recorded at the Board in alphabetical order by the par-tys name. If requested by the letter of transmittal, this index will also be amended to reflect an assignment under the name of the party other than the assignor or assignee to the doc
