Other Fields
Agency Scheme: 
STBOAPPO0002
Level: 
Appeal Level One
ADJUDICATION STRUCTURE
Appeals: Basic Structure
Appeal Office (local name): 
Board
Appeal Office (global name): 
Surface Transportation Board: Board
Appeal Officer #1 (Title): 
Board Members
Are administrative appeals permitted from final decisions issued by this appellate office?: 
No
Comments/Notes on Adjudication Structure: 
Appellate proceedings before the Board (49 CFR Part 1115) on matters for which the initial decision was not issued by the full Board -- that is, by an administrative law judge, employee board, individual Board member, employee board, or arbitration decision (all of which are rare) or, most likely, by the Director of the Office of Proceedings (49 CFR 1011.7(a)). At least with respect to appeals from employee boards and petitions to review arbitration decisions, appeals are disfavored and the standard of review narrow. (See 49 CFR 1108.11(b), 1115.1, 1115.8.) Under 49 CFR Part 1115, the Board's rules provide for petitions to reopen, petitions for reconsideration, and other appeals of Board decisions, which, under certain circumstances, allow parties to appeal decisions of the Board. For example, a petition for reopening of administratively final actions must demonstrate material error, new evidence, or substantially changed circumstances. (See 49 CFR 1115.4 -- petitions to reopen administratively final actions.)
PROCESS & PROCEDURE - General Information
Which party (or parties) is/are permitted to file appeals with this office?: 
Private Party
Are private parties permitted to have representation at appeal hearings?: 
Yes (All Types of Cases)
Who may serve as a private party representative?: 
Either
About what percentage of private parties were represented at hearings (FY2013)?: 
95.00%
Is the agency permitted to have representation at appeal hearings?: 
N/A (e.g., Agency Not Party to Hearing)
Are ex parte contacts prohibited?: 
Yes (All Types of Cases)
Regulations/rules of practice for appeal hearings (please include CFR citations): 
49 CFR 1108.11, 1115.1, 1115.4-1115.9
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted on appeals adjudicated by this office?: 
Written (Document-Only) Hearing
Please provide the approximate percentage of each type of hearing relative to the total number of appeal hearings (FY2013)
Written (Document-Only) Hearing: 
100%
How is the type of hearing selected for appeals heard by this office?: 
Required by Rule
How many appeal officers preside at each hearing?: 
Three
Is factual development permitted at the appellate hearing as a means of supplementing the record from below?: 
Yes (Some Types of Cases)
Can third-parties submit amicus briefs and/or evidence?: 
Adjudication Officer Discretion
Are appeal hearings recorded and/or transcribed?: 
N/A (Document-Only Hearings)
Are appeal hearings open to the public?: 
N/A (Document-Only Hearing)
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts final decisions on appellate cases adjudicated by this office?: 
Staff Attorney
Who has authority to issue final decisions on appellate cases adjudicated by this office?: 
Adjudication Officer
Do agency regulations or guidance provide time limits for issuance of final decisions on appellate cases?: 
No
About how long does it take on average—as of FY2013—to adjudicate appeals by this office?: 
180 Days
Is judicial review available after issuance of a final decision on appellate cases adjudicated by this office?: 
Yes (All Types of Cases)
PROCESS & PROCEDURE - Case Management
How are claims/cases processed at this appellate office?: 
Differentiated Case Management
Please briefly describe your case management practice(s) at this office: 
The Board is a small agency and must prioritize its case based on immediacy and efficiency.
Does the agency permit web-based electronic filing of briefs or other documents in cases adjudicated by this appellate office?: 
Yes
Are final decisions issued by this appellate office published and/or posted on the agency website?: 
Yes (All Decisions)
Do agency regulations/rules of practice specify the contents of the administrative record on appeals heard by this office?: 
No
Do agency regulations/rules of practice provide for closure of the record on appeals heard by this office?: 
No
PROCESS & PROCEDURE
Comments/Notes on Appellate Process & Procedures (Optional): 
While practitioners before the Board are not required to be attorneys, there are extensive educational/experience requirements and a test for non-attorneys to appear before the Board. STB regulations also set forth a code of ethics for practitioners. (49 CFR Part 1103.)
ADJUDICATORS
Total # of Appeal Officers: 
3
ADR: General Information
Is ADR available at one or more points for appellate cases heard by this office?: 
Yes
If "Yes," when is ADR available?: 
Before Claim/Case Filed
Pre-Hearing
Is ADR a mandatory or voluntary process?: 
Voluntary
What type(s) of ADR are available?: 
Mediation
Settlement Conference
If "Other," please specify:: 
The Board supports ADR in all cases.
Who conducts the ADR?: 
Third-Party Neutral
Other
If "Other," please specify:: 
Appeal-level ADR would be party-directed mediation.
Regulations/rules of practice governing ADR process (please include CFR citations): 
None that specifically pertain to appeal-level proceedings.
Other published guidance on ADR process (if any):: 
None.
CASELOAD STATISTICS - Summary Statistics
Total # Cases Filed/Opened (FY2013): 
10
Total # Cases Decided/Closed (FY2013): 
8
Total # Cases Pending (End of FY2013): 
10
CASELOAD STATISTICS - Supplementary Statistics
Does your agency maintain annual caseload statistics for this hearing office by case type (e.g., discrimination complaint, licen: 
No
WRAP-UP
Do you have any additional comments about your agency's responses on this form? If so, please provide comments below.: 
No.
Are there distinctive or innovative features of the appellate-level adjudication program covered on this form that you wish to: 
No.
Setting aside budgetary or legislative constraints (if any), does your agency have a "wish list" of processes or procedures (e.g: 
No.
Do you have any suggestions or comments about this federal administrative adjudication study?: 
No.
Verified by Agency: 
Verified