[Federal Register Volume 62, Number 188 (Monday, September 29, 1997)]
[Rules and Regulations]
[Pages 50882-50885]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-25734]
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DEPARTMENT OF TRANSPORTATION
Surface Transportation Board
49 CFR Parts 1011, 1118, 1130 and 1132
[STB Ex Parte No. 570]
Technical Amendments Concerning Employee Boards
AGENCY: Surface Transportation Board, DOT.
ACTION: Final rules.
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SUMMARY: The Board revises its regulations to remove obsolete
delegations of authority; update references to statutory provisions;
eliminate several employee boards; delegate to designated offices and
individuals certain of the matters formerly delegated to employee
boards; and reserve to the Board the initial decision making authority
for certain formerly delegated matters.
EFFECTIVE DATE: These rules are effective September 29, 1997.
FOR FURTHER INFORMATION CONTACT: James W. Greene, (202) 565-1578. (TDD
for the hearing impaired: (202) 565-1695.)
SUPPLEMENTARY INFORMATION: The Board is revising its delegations of
authority to reflect changes implemented by the ICC Termination Act of
1995, Pub. L. 104-88, 109 Stat. 803 (1995) (ICCTA). The ICCTA abolished
the Interstate Commerce Commission (ICC) and established the Board.
Some of the ICC's functions were transferred to the Board and others
were transferred to the Secretary of Transportation (and subsequently
delegated to the Federal Highway Administration (FHWA)).
49 CFR 1011.6, the employee board section, establishes 10 employee
boards: The Suspension/Special Permission (Sec. 1011.6(a)), the
Insurance Board (Sec. 1011.6(b)(1)), the Motor Carrier Leasing Board
(Sec. 1011.6(b)(2)), the Railroad Service Board (Sec. 1011.6(b)(3)),
the Revocation Board (Sec. 1011.6(b)(4)), the Released Rates Board
(Sec. 1011.6(c)), the Accounting Board (Sec. 1011.6(d)), the Special
Docket Board (Sec. 1011.6(e)), the Regional Motor Carrier Boards
(Sec. 1011.6(f)), and the Motor Carrier Board (Sec. 1011.6(g)).
Some of the delegations of authority under which these employee
boards were established include matters over which the Board does not
exercise jurisdiction. In particular, the remaining statutory bases for
the Insurance Board, the Motor Carrier Leasing Board, the Revocation
Board, and the Regional Motor Carrier Boards have been transferred to
the Department of Transportation. Therefore, we are removing from the
Code of Federal Regulations the regulations providing for these
employee boards.
The other employee boards perform functions that continue under the
Board's jurisdiction.1 Except for the Accounting
Board,2 these employee boards are being eliminated, but
their duties will be handled by the Board Members, Offices of the
Board, or individuals to whom authority is being delegated.
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\1\ While some of the functions of the Motor Carrier Board have
either been eliminated or transferred to the Federal Highway
Administration, under new 49 U.S.C. 14303, the Board has
jurisdiction over motor passenger carrier finance applications and
interim approval requests. These matters will be handled by the
entire Board.
\2\ The Accounting Board is an employee board that rules on
technical issues dealing with accounting, reporting and record
retention rules, and prescribes depreciation rates used by
railroads. This board consists of three employees within the Office
of Economics, Environmental Analysis and Administration who have
strong accounting backgrounds, and, in light of the technical nature
of the issues that are considered, we believe that the retention of
this employee board is desirable. Procedural rules for this board
are found in revised 49 CFR part 1118.
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Employee boards performed essential functions at a time when more
comprehensive transportation regulation required the ICC to make a
significantly greater number of decisions, and when literally thousands
of decisions were made under delegations of authority each year. The
elimination of much transportation regulation in recent years and the
transfer of certain responsibilities to other agencies have, however,
reduced the need for employee boards at the Board. In the current, less
regulated environment, we believe that either delegating authority to
individual Offices and employees of the Board or reserving matters for
the entire Board will be a fully adequate and more efficient way of
processing cases.
While the quantity of decisions issued by the agency has been
reduced, certain delegations of authority continue to be warranted in
areas where the action to be taken is clear under existing Board
policies, and where prompt action is needed. By continuing to delegate
authority in these areas, we can reduce both the time that Board
members would otherwise be required to spend on routine matters, and
the time and cost associated with taking the necessary actions.
Nevertheless, we believe our current requirements can be more
effectively met by delegations of authority to Offices and individual
employees, rather than to employee boards. Actions to be taken under
delegated authority can be handled more simply by an individual
employee than by an employee board. Where more significant policy
issues are involved, it is anticipated that staff will certify the
cases to the Board for consideration in the first instance.
Additionally, all actions taken pursuant to delegated authority can be
appealed to the Board by the affected parties.
In some situations, cases that arise are likely to involve
significant or difficult
[[Page 50883]]
policy or legal issues. We believe that these matters should be handled
by the Board in the first instance. We also note that such Board action
is not unduly burdensome, because it is unlikely that there will be
large numbers of these types of cases.
Specific Disposition of Retained Authority. As indicated
previously, we are retaining the Accounting Board. We are eliminating
the Motor Carrier Board, and relevant authorities retained at this
agency pursuant to the ICCTA will be implemented by the entire Board in
the first instance.
We are eliminating the Suspension/Special Permission Board, because
its remaining functions can be effectively handled
elsewhere.3 The entire Board will consider investigation and
suspension of collectively set motor carrier rates under 49 U.S.C.
13703(a)(5),4 the reasonableness of motor carrier rates
under 49 U.S.C. 13710(a)(2) , and petitions for discovery of railroad
transportation contracts submitted pursuant to 49 CFR 1313.10. We are
delegating to the Office of Compliance and Enforcement (OCE) the
determination of motor common carrier applicability disputes under 49
U.S.C. 13710(a)(2) and special tariff authority applications under 49
CFR 1312.2(e). See 49 CFR 1011.8(d)(3) and (4).
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\3\ Because 49 U.S.C. 10726, concerning long and short haul
transportation, has been eliminated, the functions at 49 CFR
1011.6(a)(2) are no longer necessary. We will remove a section not
pertaining to employee boards, 49 CFR 1011.5(b)(3)(iii), because
this section is also based on former 49 U.S.C. 10726.
\4\ We are also amending the investigation and suspension rules
in part 1132.
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We are also eliminating the Released Rates Board. 49 CFR 1011.6(c).
While under 49 U.S.C. 14706(f), household goods motor carriers and
freight forwarders need Board authority to modify, establish, or
eliminate rates limiting liability, we believe that this function can
be handled efficiently by the entire Board and does not have to be
delegated to an employee board.5
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\5\ Currently, most carriers use the authority granted by the
ICC in Released Rates of Motor Carriers of HHG, 9 I.C.C. 2d 523
(1993) as the basis for limiting their liability.
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The Special Docket Board (49 CFR 1011.6(e)) handled carrier and
shipper resolutions of undercharge and overcharge claims.6
Tariff filing requirements are now found at 49 U.S.C. 13702
(noncontiguous domestic trade), and the authority to resolve
undercharge and overcharge claims is found in 49 U.S.C. 14709. Because
we do not believe that there will be many filings under section 14709,
we are eliminating this board.
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\6\ These claims resulted from incorrect tariff provisions or
billing errors due to the inadvertent failure to appropriately file
and maintain agreed-upon rates in compliance with statutory
provisions.
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Instead, uncontested requests formerly handled by the Special
Docket Board will be processed by OCE. We are amending 49 CFR 1132.2 to
reflect this change. Contested matters will be decided by the Board. 49
CFR 1132.2(g)(4).
The Railroad Service Board (49 CFR 1011.6(b)(3) and (b)(6)) was
delegated authority to act in equipment supply complaints and to issue
emergency service orders. In recent years, the entire Board has acted
on these matters. We will continue this practice and eliminate the
employee board.
We are also eliminating other delegations. Under 49 CFR 1011.7(e),
the Director of the former Office of Tariffs was delegated authority to
enter reparation orders following the conclusion of a formal case where
the amount of reparations could not be determined from the existing
record. We will eliminate this provision, and reparation issues will be
decided by the entire Board. Under 49 CFR 1011.8(d)(1), OCE, as
successor to the Office of Tariffs, was delegated authority to reject
tariffs, schedules, railroad contracts, and railroad contract
summaries. We are maintaining this delegation but eliminating the
obsolete references to schedules and rail contracts.7
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\7\ Rail contracts are no longer filed with the Board.
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We believe the revised delegations and procedures strike an
appropriate balance between matters that should be handled by staff in
the first instance and those that warrant consideration by the Board in
the first instance. Further, the elimination of employee boards will
produce operating efficiencies for the actions that continue to be
taken under delegated authority. Because the substantive changes in the
regulations relate solely to rules of agency organization, procedure or
practice, they are being implemented without requesting public comment.
Small Entities
The Board certifies that this rule will not have a significant
economic effect on a substantial number of small entities.
Environment
This action will not significantly affect either the quality of the
human environment or the conservation of energy resources.
List of Subjects
49 CFR Part 1011
Administrative practice and procedure, Authority delegations
(Government agencies), Organization and functions (Government
agencies).
49 CFR Part 1118
Administrative practice and procedure.
49 CFR Part 1130
Administrative practice and procedure.
49 CFR Part 1132
Administrative practice and procedure.
Decided: September 17, 1997.
By the Board, Chairman Morgan and Vice Chairman Owen.
Vernon A. Williams,
Secretary.
For the reasons set forth in the preamble, parts 1011, 1118, 1130
and 1132 of title 49, chapter X, of the Code of Federal Regulations are
amended as follows:
PART 1011--BOARD ORGANIZATION; DELEGATIONS OF AUTHORITY
1. The authority citation for part 1011 continues to read as
follows:
Authority: 5 U.S.C. 553; 31 U.S.C. 9701; 49 U.S.C. 701, 721,
13702.
Sec. 1011.5 [Amended]
2. In Sec. 1011.5, paragraph (b)(3)(iii) is removed.
3. Section 1011.6 is revised to read as follows:
Sec. 1011.6 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 revised
Interstate Commerce Act (IC Act), subtitle IV of title 49 of the U.S.
Code, 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 IC 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
[[Page 50884]]
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. 1011.7 [Amended]
4. In Sec. 1011.7, paragraph (e) is removed and reserved.
5. In Sec. 1011.8, paragraph (d) is revised to read as follows:
Sec. 1011.8 Delegations of authority by the Board to specific offices
of the Board.
* * * * *
(d) 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).
* * * * *
6. Part 1118 is revised to read as follows:
PART 1118--PROCEDURES IN INFORMAL PROCEEDINGS BEFORE EMPLOYEE
BOARDS
Sec.
1118.1 Scope.
1118.2 Proceedings to be informal.
1118.3 Appeals.
Authority: 49 CFR 721.
Sec. 1118.1 Scope.
The rules in this part govern proceedings before employee boards.
Sec. 1118.2 Proceedings to be informal.
The proceedings in all matters governed by this part will be
informal. No transcript of these proceedings will be made. Subpoenas
will not be issued and, except when applications, petitions, or
statements are required to be attested, oaths will not be administered.
Sec. 1118.3 Appeals.
(a) Standing to appeal. Appeals of the decisions of the employee
boards subject to this part and replies to appeals may be filed by any
person.
(b) Number of copies. The original and 10 copies of each pleading
or paper permitted or required to be filed under this section should be
furnished for the use of the Board.
(c) Time for filing. Appeals in proceedings governed by this part
must be filed within 20 days after the date of service of the decision.
(d) Where filed. Appeals and replies to appeals of decisions issued
by employee boards must be filed with the Secretary, Surface
Transportation Board, 1925 K St., NW., Washington, DC 20423-0001.
(e) Decisions on appeal. An appeal from an employee board's initial
decision in a matter subject to this part will be reviewed by the
employee board, which may elect to modify its decision in light of new
facts or arguments presented on appeal. If the employee board elects
not to modify its prior decision, the appeal will be forwarded to the
entire Board for determination. If a modified decision is issued by the
employee board, a further appeal lies under this part.
PART 1130--INFORMAL COMPLAINTS
7. The authority citation for part 1130 is revised to read as
follows.
Authority: 49 U.S.C. 721, 13301(f), 14709.
8. In Sec. 1130.2, paragraph (e) is removed and reserved, and
paragraphs (a), (c), the first two sentences of (f), (g)(1), and (g)(2)
are revised to read as follows:
Sec. 1130.2 When damages sought.
(a) Actual filing required. Notification to the Board that an
informal complaint may or will be filed later seeking damages is not a
filing within the meaning of the statute.
* * * * *
(c) Statement of prior claim. A complaint filed under paragraph (b)
of this section containing a claim which has been the subject of a
previous informal or formal complaint must specifically refer to the
previous complaint.
* * * * *
(f) Notification to the parties; six months' rule. If an informal
complaint seeking damages (other than a contested tariff reconciliation
petition) cannot be disposed of informally or is denied or withdrawn by
complainant, the parties affected will be so notified in writing by the
Board. Contested tariff reconciliation petitions either will be granted
or denied by the entry of a decision. * * *
(g) * * *
(1) Petitions to waive collection or permit payment. Subject to
Board review and approval, motor common carriers (other than household
goods carriers) and shippers may resolve, by mutual consent, overcharge
and undercharge claims under the provisions of 49 U.S.C. 14709.
Petitions for appropriate authority may be filed by either the carrier,
shipper or consignee on the Board's tariff reconciliation docket by
submitting a letter of intent to depart from the filed rate. The
petitions will be deemed the equivalent of an informal complaint and
answer admitting the matters stated in the petition. Petitions shall be
sent to the Office of Compliance and Enforcement, Surface
Transportation Board, Washington, DC 20423. The petitions shall
contain, at a minimum, the following information:
(i) The name(s) and address(es) of the payer(s) of the freight
charges;
(ii) The name(s) of the carrier(s) involved in the traffic;
(iii) An estimate of the amount(s) involved;
(iv) The time period when the shipment(s) involved were delivered
or tendered for delivery;
(v) A general description of the point(s) of origin and destination
of the shipment(s);
(vi) A general description of the commodity(ies) transported;
(vii) A statement certifying that the carrier(s) and shipper(s)
participating in the shipment(s) or the payer(s) of the freight charges
concur(s) with the intent to depart from the filed rate; and
(viii) A brief explanation of the incorrect tariff provision(s) or
billing error(s) causing the request to depart from the filed rate.
(2) Public notice and protest. Tariff reconciliation petitions
(letters of intent) shall be served on all parties named in the
petition by the party that files the petition and will be made
available by the Board for public inspection in the Office of
Compliance and Enforcement Public File, Surface Transportation Board,
Washington, DC 20423. Any interested person may protest the granting of
a petition by filing a letter of objection with the Office of
Compliance and Enforcement within 30 days of Board receipt of the
petition. Letters of objection shall identify the tariff reconciliation
proceeding, shall clearly state the reasons for the objection, and
shall certify that a copy of the letter of objection has been served on
all parties named in the petition. The
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Board may initiate an investigation of the petition on its own motion.
* * * * *
9. Part 1132 is revised to read as follows:
PART 1132--PROTESTS REQUESTING SUSPENSION AND INVESTIGATION OF
COLLECTIVE RATEMAKING ACTIONS
Sec.
1132.1 Protests against collective ratemaking actions.
1132.2 Procedures in certain suspension matters.
Authority: 49 U.S.C. 721, 13301(f), and 13703.
Sec. 1132.1 Protests against collective ratemaking actions.
(a) Content. The protested collective ratemaking action sought to
be suspended, whether or not contained in a tariff filed with the
Board, should be identified by making reference to: The name of the
publishing carrier or collective ratemaking organization; the
identification of the tariff, if applicable, or the identification of
the collective ratemaking action publication if it is not contained in
a tariff filed with the Board; the specific items or particular
provisions protested; and the effective date of the tariff or other
collective ratemaking action publication. Reference should also be made
to the tariff or collective ratemaking action, and the specific
provisions proposed to be superseded. The protest should state the
grounds in support thereof, and indicate in what respect the protested
collective ratemaking action is considered to be unlawful. Such
protests will be considered as addressed to the discretion of the
Board. Should a protestant desire to proceed further against a
collective ratemaking action which is not suspended, or which has been
suspended and the suspension vacated, a separate later formal complaint
or petition should be filed.
(b) When filed. Protests against, and requests for suspension of,
collective ratemaking actions will not be considered unless made in
writing and filed with the Board at Washington, DC. If the protestant
desires action by the Board before the effective date of the collective
action, protests and requests for suspension shall reach the Board at
least 12 days (except as provided in paragraph (c) of this section)
before such effective date. If the protested collective ratemaking
action is already in effect, or if the protestant does not desire
action before its effective date, protests and requests for suspension
can be filed at any time.
(c) Motor carrier tariff bureau filings. When motor common carrier
tariff bureaus take collective actions subject to the special
procedures adopted in Ex Parte No. MC-82, New Procedures in Motor
Carrier Rev. Proc. 340 I.C.C. 1 (1971), and set forth at 49 CFR part
1139, protests must reach the Board at least 22 days before the
effective dates of those actions if protestants desire action by the
Board before such effective dates. All statements should be served by
express mail or an equivalent expedited delivery service upon any party
undertaking to bear the cost. Written request for this expedited
service must be made no less than 5 days before the statement is due to
be filed with the Board.
(d) Copies; service. In connection with proceedings involving
proposals subject to the special procedures in Ex Parte No. MC-82, New
Procedures in Motor Carrier Rev. Proc. 339 I.C.C. 324, and set forth at
49 CFR part 1139, an original and 10 copies of every protest or reply
filed under this section should be furnished for the use of the Board.
Except as provided for proposals subject to the special procedures in
Ex Parte No. MC-82, the original and 10 copies of each protest, or of
each reply filed under this section, must be filed with the Board, and
one copy simultaneously must be served upon the publishing carrier or
collective ratemaking organization, and upon other persons known by
protestant to be interested. These pleadings should be directed to the
attention of the Secretary, Surface Transportation Board.
(e) Reply to protest. A reply to a protest filed at least 12 days
before the effective date of proposed collective action provisions must
reach the Board not later than the fourth working day prior to the
scheduled effective date of the protested provisions unless otherwise
provided. Replies to protests against motor carrier rate bureau
proposals subject to Ex Parte No. MC-82 procedures, to be assured of
consideration, must reach the Board no later than 14 days before the
scheduled effective date of the protested provisions.
Sec. 1132.2 Procedures in certain suspension matters.
(a) A petition for reconsideration may be filed by any interested
person within 20 days after the date of service of a Board decision
which results in an order for:
(1) Investigation and suspension of collective ratemaking actions,
or
(2) Investigation (without suspension) of collective ratemaking
actions.
(b) Any interested person may file and serve a reply to any
petition for reconsideration permitted under paragraph (a) of this
section within 20 days after the filing of such petition with the
Board, but if the facts stated in any such petition disclose a need for
accelerated action, such action may be taken before expiration of the
time allowed for reply. In all other respects, such petitions and
replies thereto will be governed by the rules of general applicability
of the Rules of Practice.
[FR Doc. 97-25734 Filed 9-26-97; 8:45 am]
BILLING CODE 4915-00-P
