[Federal Register Volume 67, Number 186 (Wednesday, September 25, 2002)]
[Rules and Regulations]
[Pages 60167-60170]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-24215]


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DEPARTMENT OF TRANSPORTATION

Surface Transportation Board

49 CFR Part 1011

[STB Ex Parte No. 588]


Revision of Delegation of Authority Regulations

AGENCY: Surface Transportation Board, Transportation.

ACTION: Final rules.

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SUMMARY: The Surface Transportation Board is revising the delegation of 
authority regulations to reflect changes made by the ICC Termination 
Act of 1995 and other changes. These rules set out the organization of 
the Board and procedures in processing cases, certain litigation, and 
informal opinions. The Board's revision to its regulations include the 
removal of obsolete delegations of authority, and the updating of 
references to statutory provisions.

EFFECTIVE DATE: These rules are effective on September 30, 2002.

FOR FURTHER INFORMATION CONTACT: John Sado, (202) 565-1661. [Federal 
Information Relay Service (FIRS) for the hearing impaired: 1-800-877-
8339.]

SUPPLEMENTARY INFORMATION: The Board's decision adopting these 
regulations (which includes the new rules) is posted on the Board's 
website, www.stb.dot.gov. In addition, copies of the decision may be 
purchased from Da-2-Da Legal Copy Service by calling 202-293-7776 
(assistance for the hearing impaired is available through FIRS at 1-
800-877-8339) or visiting Suite 405, 1925 K Street, NW., Washington, DC 
20006.
    This action will not significantly affect either the quality of the 
human environment or the conservation of energy resources.

List of Subjects in 49 CFR Part 1011

    Administrative practice and procedure, Authority delegations 
(Government agencies), Organization and functions (Government 
agencies).

    Decided: September 18, 2002.

    By the Board, Chairman Morgan and Vice Chairman Burkes.
Vernon A. Williams,
Secretary.

    For the reasons set forth in the preamble, part 1011, of title 49, 
chapter X, of the Code of Federal Regulations is revised as follows:

PART 1011-- BOARD ORGANIZATION; DELEGATIONS OF AUTHORITY

Sec.
1011.1 General.
1011.2 The Board.
1011.3 The Chairman, Vice Chairman, and Board Member.
1011.4 Delegations to individual Board Members.
1011.5 Employee boards.
1011.6 Delegations of authority by the Chairman.
1011.7 Delegations of authority by the Board to specific offices of 
the Board.

    Authority: 5 U.S.C. 553; 31 U.S.C. 9701; 49 U.S.C. 701, 721, 
11144, 14122, and 15722.


Sec.  1011.1  General.

    (a) This part describes the organization of the Board, and the 
assignment of jurisdiction and the responsibilities to the Board, 
individual Board Members or employees, and employee boards.
    (b) As used in this part, matter includes any case, proceeding, 
question, or other matter within the Board's jurisdiction; and decision 
includes any decision, ruling, order, or requirement of the Board, an 
individual Board Member or employee, or an employee board.


Sec.  1011.2  The Board.

    (a) The Board reserves to itself for consideration and disposition:
    (1) All rulemaking and similar proceedings involving the 
promulgation of rules or the issuance of statements of general policy.
    (2) All investigations and other proceedings instituted by the 
Board, except as may be ordered in individual situations.
    (3) All administrative appeals in a matter previously considered by 
the Board.
    (4) All other matters submitted for decision except those assigned 
to an

[[Page 60168]]

individual Board Member or employee or an employee board.
    (5) Except for matters assigned to the Chairman of the Board under 
Sec.  1011.4(a)(6):
    (i) The determination of whether to reconsider a decision being 
challenged in court;
    (ii) The disposition of matters that have been the subject of an 
adverse decision by a court; and
    (iii) The determination of whether to file any memorandum or brief 
or otherwise participate on behalf of the Board in any court.
    (6) The disposition of all matters involving issues of general 
transportation importance, and the determination whether issues of 
general transportation importance are involved in any matter.
    (7) All appeals of initial decisions issued by the Director of the 
Office of Proceedings under the authority delegated by Sec.  1011.7(b). 
Appeals must be filed within 10 days after service of the Director 
decision or publication of the notice, and replies must be filed within 
10 days after the due date for appeals or any extension thereof.
    (b) The Board may bring before it any matter assigned to an 
individual Board Member or employee or employee board.


Sec.  1011.3  The Chairman, Vice Chairman, and Board Member.

    (a)(1) The Chairman of the Board is appointed by the President as 
provided by 49 U.S.C. 701(c)(1). The Chairman has authority, duties, 
and responsibilities assigned under 49 U.S.C. 701(c)(2) and described 
in this part.
    (2) The Vice Chairman is elected by the Board for the term of 1 
calendar year.
    (3) In the Chairman's absence, the Vice Chairman is acting 
Chairman, and has the authority and responsibilities of the Chairman. 
In the Vice Chairman's absence, the Chairman, if present, has the 
authority and responsibilities of the Vice Chairman. In the absence of 
both the Chairman and Vice Chairman, the remaining Board Member is 
acting Chairman, and has the authority and responsibilities of the 
Chairman and Vice Chairman.
    (b)(1) The Chairman is the executive head of the Board and has 
general responsibilities for:
    (i) The overall management and functioning of the Board;
    (ii) The formulation of plans and policies designed to assure the 
effective administration of the Interstate Commerce Act and related 
Acts;
    (iii) Prompt identification and early resolution, at the 
appropriate level, of major substantive regulatory problems; and
    (iv) The development and use of effective staff support to carry 
out the duties and functions of the Board.
    (2) The Chairman of the Board exercises the executive and 
administrative functions of the Board, including:
    (i) The appointment, supervision, and removal of Board employees, 
except those in the immediate offices of Board Members other than the 
Chairman;
    (ii) The distribution of business among such personnel and among 
administrative units of the Board; and
    (iii) The use and expenditures of funds.
    (3) In carrying out his or her functions, the Chairman is governed 
by general policies of the Board and by such regulatory decisions, 
findings, and determinations as the Board by law is authorized to make.
    (4) The appointment by the Chairman of the heads of offices is 
subject to the approval of the Board. All heads of offices report to 
the Chairman.
    (c)(1) The Chairman presides at all sessions of the Board and sees 
that every vote and official act of the Board required by law to be 
recorded is accurately and promptly recorded by the Secretary or the 
person designated by the Board for that purpose.
    (2) Regular sessions of the Board are provided for by Board 
regulations. The Chairman may call the Board into special session to 
consider any matter or business of the Board. The Chairman shall 
convene a special session to consider any matter or business on request 
of a member of the Board unless a majority of the Board votes either 
not to hold a special session or to delay conference consideration of 
that item, or unless the Chairman finds that special circumstances 
warrant a delay. Notwithstanding the two immediately preceding 
sentences of this paragraph, on the written request of any member of 
the Board, the Chairman shall schedule a Board conference to discuss 
and vote on significant Board proceedings involving major 
transportation issues, and such conference shall be held within a 
reasonable time following the close of the record in the involved 
proceeding.
    (3) The Chairman exercises general control over the Board's 
argument calendar and conference agenda.
    (4) The Chairman acts as correspondent and speaks for the Board in 
all matters where an official expression of the Board is required.
    (5) The Chairman brings any delay or failure in the work to the 
attention of the supervising Board Member, employee, or board, and 
initiates ways of correcting or preventing avoidable delays in the 
performance of any work or the disposition of any matter.
    (6) The Chairman may appoint such standing or ad hoc committees of 
the Board as he or she considers necessary.
    (7) The Chairman may reassign related proceedings to a board of 
employees and may remove a matter from an individual Board Member or 
employee or employee board for consideration and disposition by the 
Board.
    (8) The Chairman may authorize any officer, employee, or 
administrative unit of the Board to perform a function vested in or 
delegated to the Chairman.
    (9) The Chairman authorizes the institution of investigations on 
the Board's own motion, and their discontinuance at any time before 
hearing.
    (10) The Chairman approves for publication all publicly issued 
documents by an office, except:
    (i) Those authorized or adopted by the Board or an individual Board 
Member that involve decisions in formal proceedings;
    (ii) Decisions or informal opinions of an office; and
    (iii) Documents prepared for court cases or for introduction into 
evidence in a formal proceeding.


Sec.  1011.4  Delegations to individual Board Members.

    (a) The following matters are referred to the Chairman of the 
Board:
    (1) Entry of reparation orders responsive to findings authorizing 
the filing of statements of claimed damages as provided at 49 CFR part 
1133.
    (2) Extensions of time for compliance with orders and procedural 
matters in any formal case or pending matter, except appeals taken from 
the decision of a hearing officer on requests for discovery.
    (3) Postponement of the effective date of orders in proceedings 
that are the subject of suits brought in a court to enjoin, suspend, or 
set aside the decision.
    (4) Dismissal of complaints and applications on the unopposed 
motion of any party.
    (5) Requests for access to waybills and to statistics reported 
under orders of the Board.
    (6) Exercise of control over litigation arising under the Freedom 
of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a), 
except for determinations whether to seek further judicial review of:
    (i) A decision in which a court finds under 5 U.S.C. 552(a)(4)(F) 
that Board

[[Page 60169]]

personnel may have acted arbitrarily or capriciously in improperly 
withholding records from disclosure; or
    (ii) A decision in which a court finds under 5 U.S.C. 552a(g)(4) 
that Board personnel acted intentionally or wilfully in violating the 
Privacy Act.
    (7) Issuance of certificates and decisions authorizing Consolidated 
Rail Corporation to abandon or discontinue service over lines for which 
an application under section 308 of the Regional Rail Reorganization 
Act of 1973 has been filed.
    (8) Designation in writing of employees authorized to inspect and 
copy records and to inspect and examine lands, buildings, and equipment 
pursuant to 49 U.S.C. 11144, 14122, and 15722.
    (b) The following matters are referred to the Vice Chairman of the 
Board:
    (1) Matters within the jurisdiction of the Accounting Board if 
certified to the Vice Chairman by the Accounting Board or if removed 
from the Accounting Board by the Vice Chairman.
    (2) Matters involving the admission, disbarment, or discipline of 
practitioners before the Board under 49 CFR part 1103.
    (c) The Chairman, Vice Chairman, or other Board Member to whom a 
matter is assigned under this part may certify such matter to the 
Board.
    (d) The Chairman shall notify all Board Members that a petition for 
a stay has been referred to the Chairman for disposition under 
paragraphs (a)(2) or (3) of this section. The Chairman shall also 
inform all Board Members of the decision on that petition before 
service of such decision. At the request of a Board Member, made at any 
time before the Chairman's decision is served, the petition will be 
referred to the Board for decision.


Sec.  1011.5  Employee boards.

    This section covers matters assigned to the Accounting Board, a 
board of employees of the Board.
    (a) The Accounting Board has authority:
    (1) To permit departure from general rules prescribing uniform 
systems of accounts for carriers and other persons under the Interstate 
Commerce Act, and from the regulations governing accounting and 
reporting forms;
    (2) To prescribe rates of depreciation to be used by railroad and 
water carriers;
    (3) To issue special authorizations permitted by the regulations 
governing the destruction of records of carriers subject to the 
Interstate Commerce Act; and
    (4) To grant extensions of time for filing annual, periodic, and 
special reports in matters that do not involve taking testimony at a 
public hearing or the submission of evidence by opposing parties in the 
form of affidavits.
    (b) The board may certify any matter assigned to it to the Board.


Sec.  1011.6  Delegations of authority by the Chairman.

    (a)(1) This section provides for delegations of authority by the 
Chairman of the Surface Transportation Board to individual Board 
employees.
    (2) The Chairman of the Board may remove for disposition any matter 
delegated under this section, and any matter delegated under this 
section may be referred by the Board employee to the Chairman for 
disposition.
    (b) The Board will decide appeals from decisions of employees 
acting under authority delegated under this section. Appeals must be 
filed within 10 days after the date of the employee's action, and 
replies must be filed within 10 days after the due date for appeals. 
Appeals are not favored and will be granted only in exceptional 
circumstances to correct a clear error of judgment or to prevent 
manifest injustice.
    (c)(1) As used in this paragraph, procedural matter includes, but 
is not limited to, the assignment of the time and place for hearing; 
the assignment of proceedings to administrative law judges; the 
issuance of decisions directing special hearing procedures; the 
establishment of dates for filing statements in cases assigned for 
hearing under modified (non-oral hearing) procedure; the consolidation 
of proceedings for hearing or disposition; the postponement of hearings 
and procedural dates; the waiver of formal specifications for 
pleadings; and extensions of time for filing pleadings. It does not 
include interlocutory appeals from the rulings of hearing officers; nor 
does it include postponement of the effective date of:
    (i) Decisions pending judicial review,
    (ii) Decisions of the entire Board,
    (iii) Cease and desist orders, or
    (iv) Final decisions where petitions for discretionary review have 
been filed under 49 CFR 1115.3.
    (2) Unless otherwise ordered by the Board in individual 
proceedings, authority to dispose of procedural matters is delegated to 
administrative law judges or Board Members in proceedings assigned to 
them.
    (3) Unless otherwise ordered by the Board in individual 
proceedings, authority to dispose of routine procedural matters in 
proceedings assigned for handling under modified procedure, other than 
those assigned to an administrative law judge or a Board Member, is 
assigned to the Secretary of the Board. The Secretary shall also have 
authority, unless otherwise ordered by the Chairman or by a majority of 
the Board in individual proceedings, to decide whether complaint 
proceedings shall be handled under the modified procedure or be 
assigned for oral hearings. In carrying out these duties, the Secretary 
shall consult, as necessary, with the General Counsel and the Director 
of any Board office to which an individual proceeding has been 
assigned.
    (d) Except as provided at 49 CFR 1113.3(b)(1), authority to dismiss 
a complaint on complainant's request, or an application on applicant's 
request, is delegated to the Secretary.
    (e) Authority to grant or deny access to waybills and to statistics 
reported under orders of the Board is delegated to the Director of the 
Office of Economics, Environmental Analysis, and Administration.
    (f) Certain accounts in the Uniform Systems of Accounts, 49 CFR 
parts 1200 through 1207, require Board approval to use. Authority to 
grant or deny requests for use of these accounts is delegated to the 
Director and Associate Director of the Office of Economics, 
Environmental Analysis, and Administration and the Chief of the Section 
of Economics.
    (g) The Secretary of the Board is delegated authority, under the 
Regulatory Flexibility Act, 5 U.S.C. 601, et seq., to:
    (1) Sign and transmit to the Small Business Administration 
certifications of no significant economic effect for proposed rules, 
that if adopted by the Board, will not have a significant economic 
impact on a substantial number of small entities; and
    (2) Sign and transmit findings regarding waiver or delay of an 
initial regulatory flexibility analysis or delay of a final regulatory 
flexibility analysis.
    (h) Issuance of certificates and decisions authorizing Consolidated 
Rail Corporation to abandon or discontinue service over lines for which 
an application under section 308 of the Regional Rail Reorganization 
Act of 1973 has been filed is delegated to the Director of the Office 
of Proceedings.


Sec.  1011.7  Delegations of authority by the Board to specific offices 
of the Board.

    (a) The Secretary. The Secretary of the Board is delegated the 
following authority:
    (1) Whether (in consultation with involved Offices) to waive filing 
fees set forth at 49 CFR 1002.2(f).
    (2) To issue, on written request, informal opinions and 
interpretations

[[Page 60170]]

(exclusive of informal opinions and interpretations on carrier tariff 
provisions), which are not binding on the Board. In issuing informal 
opinions or interpretations, the Secretary shall consult with the 
Director of the appropriate Board office. Such requests must be 
directed to the Secretary, Surface Transportation Board, Washington, DC 
20423. Authority to issue informal opinions and interpretations on 
carrier tariff provisions is delegated at paragraph (c)(2) of this 
section to the Office of Compliance and Enforcement.
    (b) Office of Proceedings. In addition to the authority delegated 
at 49 CFR 1011.6(h), the Director of the Office of Proceedings shall 
have authority initially to determine the following:
    (1) Whether to designate abandonment proceedings for oral hearings 
on request.
    (2) Whether offers of financial assistance satisfy the statutory 
standards of 49 U.S.C. 10904(d) for purposes of negotiations or, in 
exemption proceedings, for purposes of partial revocation and 
negotiations.
    (3) Whether:
    (i) To impose, modify, or remove environmental or historic 
preservation conditions; and
    (ii) In abandonment proceedings, to impose public use conditions 
under 49 U.S.C. 10905 and the implementing regulations at 49 CFR 
1152.28.
    (4) In abandonment proceedings, when a request for interim trail 
use/rail banking is filed under 49 CFR 1152.29, to determine whether 
the National Trails System Act, 16 U.S.C. 1247(d), is applicable and, 
where appropriate, to issue Certificates of Interim Trail Use or 
Abandonment (in application proceedings) or Notices of Interim Trail 
Use or Abandonment (in exemption proceedings).
    (5) In any abandonment proceeding where interim trail use/rail 
banking is an issue, to make such findings and issue decisions as may 
be necessary for the orderly administration of the National Trails 
System Act, 16 U.S.C. 1247(d).
    (6) Whether to institute requested declaratory order proceedings 
under 5 U.S.C. 554(e).
    (7) To issue decisions, after 60 days' notice by any person 
discontinuing a subsidy established under 49 U.S.C. 10904 and at the 
railroad's request:
    (i) In application proceedings, immediately issuing decisions 
authorizing abandonment or discontinuance; and
    (ii) In exemption proceedings, immediately vacating the decision 
that postponed the effective date of the exemption.
    (8) In proceedings under the Feeder Railroad Development Program 
under 49 U.S.C. 10907 and the implementing regulations at 49 CFR part 
1151:
    (i) Whether to accept or reject primary applications under 49 CFR 
1151.2(b); competing applications under section 1151.2(c); and 
incomplete applications under 49 CFR 1151.2(d).
    (ii) Whether to grant waivers from specific provisions of 49 CFR 
part 1151.
    (9) In exemption proceedings subject to environmental or historic 
preservation reporting requirements, to issue a decision, under 49 CFR 
1105.10(g), making a finding of no significant impact where no 
environmental or historic preservation issues have been raised by any 
party or identified by the Board's Section of Environmental Analysis.
    (10) Whether to issue notices of exemption under 49 U.S.C. 10502:
    (i) For acquisition, lease, and operation transactions under 49 
U.S.C. 10901 and 10902 and the implementing regulations at 49 CFR part 
1150, subparts D and E;
    (ii) For connecting track constructions under 49 U.S.C. 10901 and 
the implementing regulations at 49 CFR 1150.36;
    (iii) For rail transactions under 49 U.S.C. 11323 and the 
implementing regulations at 49 CFR 1180.2(d); and
    (iv) For abandonments and discontinuances under 49 U.S.C. 10903 and 
the implementing regulations at 49 CFR 1152.50.
    (11) When an application or a petition for exemption for 
abandonment is filed, the Director will issue a notice of that filing 
pursuant to 49 CFR 1152.24(e)(2) and 49 CFR 1152.60, respectively.
    (12) Whether to issue a notice of exemption under 49 U.S.C. 13541 
for a transaction under 49 U.S.C. 14303 within a motor passenger 
carrier corporate family that does not result in adverse changes in 
service levels, significant operational changes, or a change in the 
competitive balance with motor passenger carriers outside the corporate 
family.
    (13) Whether to issue rail modified certificates of public 
convenience and necessity under 49 CFR part 1150, subpart C.
    (14) Whether to waive the regulations at 49 CFR part 1152, subpart 
C, on appropriate petition.
    (15) To reject applications, petitions for exemption, and verified 
notices (filed in class exemption proceedings) for noncompliance with 
the environmental rules at 49 CFR part 1105.
    (16) To reject applications by The Burlington Northern and Santa Fe 
Railway Company to abandon rail lines in North Dakota exceeding the 
350-mile cap of section 402 of Public Law 97-102, 95 Stat. 1465 (1981), 
as amended by The Department of Transportation and Related Agencies 
Appropriations Act, 1992, Public Law 102-143, section 343 (Oct. 28, 
1991).
    (c) Office of Compliance and Enforcement. The Office of Compliance 
and Enforcement is delegated the authority to:
    (1) Reject tariffs and railroad transportation contract summaries 
filed with the Board that violate applicable statutes, rules, or 
regulations. Any rejection of a tariff or contract summary may be by 
letter signed by or for the Director, Office of Compliance and 
Enforcement, or the Chief, Section of Tariffs, Office of Compliance and 
Enforcement.
    (2) Issue, on written request, informal opinions and 
interpretations on carrier tariff provisions, which are not binding on 
the Board.
    (3) Grant or withhold special tariff authority granting relief from 
the provisions of 49 CFR part 1312. Any grant or withholding of such 
relief may be by letter signed by or for the Director, Office of 
Compliance and Enforcement, or the Chief, Section of Tariffs, Office of 
Compliance and Enforcement.
    (4) Resolve any disputes that may arise concerning the 
applicability of motor common carrier rates under 49 U.S.C. 
13710(a)(2).

[FR Doc. 02-24215 Filed 9-24-02; 8:45 am]
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